Keith D. Brickman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Keith Douglas Brickman was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1984. Keith had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2010 - November 1, 2013
DEMATTEO RESEARCH LLC
August 3, 2009 - February 22, 2010
KOYOTE TRADING LLC
March 30, 2009 - October 8, 2009
SCHOTTENFELD GROUP LLC
September 1, 2006 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 2003 - July 10, 2006
RAMIUS SECURITIES LLC
October 8, 1991 - May 9, 2002
MORGAN STANLEY & CO. LLC
April 6, 1990 - July 10, 1991
SALOMON BROTHERS INC.
December 23, 1985 - March 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1984 - October 15, 1985
BRADLEY HUMMEL & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/3/1998
Limited Representative-Equity Trader ExamCurrent Firm
DEMATTEO RESEARCH LLC
CRD#: 43741 / SEC#: , 8-50395
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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