Keith M. Feldman
Professional summary
Keith Mitchell Feldman is a registered financial professional currently at COLORADO FINANCIAL SERVICE CORPORATION located in Centennial, Colorado.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1984. Keith has worked at 27 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Mitchell Feldman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2021 - Present
COLORADO FINANCIAL SERVICE CORPORATION
Office #1: 188 Inverness Drive West Suite 100, Centennial, CO 80112June 5, 2019 - August 30, 2019
ALPINE SECURITIES CORPORATION
January 25, 2013 - August 29, 2018
DELANEY EQUITY GROUP LLC
January 3, 2011 - December 12, 2012
DELANEY EQUITY GROUP LLC
May 26, 2009 - July 23, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 9, 2009 - May 21, 2009
FREEDOM INVESTORS CORP.
February 13, 2007 - June 4, 2007
NORTH AMERICAN CLEARING, INC.
May 15, 2006 - November 17, 2006
JW RICHARDS, INC
December 19, 2005 - May 11, 2006
NORTH AMERICAN CLEARING, INC.
August 15, 2005 - November 29, 2005
VIEWTRADE SECURITIES, INC.
August 15, 2005 - November 29, 2005
VIEWTRADE FINANCIAL
May 6, 2005 - June 17, 2005
AURA FINANCIAL SERVICES, INC.
August 10, 2004 - September 29, 2004
GUNNALLEN FINANCIAL, INC
January 9, 2004 - August 10, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
May 22, 2002 - November 7, 2002
LPE SECURITIES, LLC
November 26, 2001 - February 19, 2002
EQUITY TRADING ONLINE, LLC
August 2, 2001 - November 16, 2001
DELTA ASSET MANAGEMENT COMPANY, LLC
May 15, 2001 - August 8, 2001
PARKER FINANCIAL CORP.
March 26, 2001 - May 9, 2001
CHICAGO INVESTMENT GROUP, LLC
May 30, 2000 - October 11, 2000
MUTUAL SERVICE CORPORATION
December 14, 1999 - February 29, 2000
STANFORD GROUP COMPANY
September 15, 1999 - December 13, 1999
NATIONAL SECURITIES CORPORATION
September 16, 1997 - September 10, 1999
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
February 20, 1997 - July 21, 1997
A. G. EDWARDS & SONS, INC.
October 19, 1995 - December 24, 1996
SUNCOAST CAPITAL GROUP, LTD.
February 10, 1995 - September 18, 1995
GILMORE SECURITIES & CO.
May 22, 1987 - January 10, 1995
GRUNTAL & CO., L.L.C.
December 23, 1986 - April 21, 1987
CARL MARKS & CO., INC.
January 23, 1986 - January 10, 1995
GRUNTAL & CO., L.L.C.
October 9, 1985 - December 21, 1985
SSI SECURITIES CORP.
August 14, 1985 - September 30, 1985
R.H. STEWART & CO., INC.
November 16, 1984 - July 8, 1985
SSI SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2021)
(6/15/2021)
(4/8/2022)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/14/2009
Limited Representative-Equity Trader ExamFINRA
Current Firm
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
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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