AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KC

Keith J. Carson

Some features on this profile are disabled
CRD#: 1317931
KC

Professional summary

Keith John Carson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Keith is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Keith had worked at 9 firms, which includes WINDSOR STREET CAPITAL LP, DAWSON JAMES ASSET MANAGEMENT INC., DAWSON JAMES SECURITIES INC., NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JWGENESIS FINANCIAL GROUP INC, CHATFIELD DEAN & CO. INC., J. W. GANT & ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith John Raymond

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 6, 2012 - November 9, 2012

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

June 14, 2006 - May 17, 2012

DAWSON JAMES ASSET MANAGEMENT, INC.

RIA
CRD#: 135259
BOCA RATON, FL
Past

August 12, 2005 - May 16, 2012

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

January 28, 2005 - November 8, 2005

NFSG CORPORATION

RIA
CRD#: 130814
FORT LAUDERDALE, FL
Past

October 16, 2003 - September 12, 2005

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

January 2, 2001 - October 30, 2003

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
ORLANDO, FL
Past

January 2, 2001 - October 30, 2003

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 4, 1999 - January 2, 2001

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

October 31, 1991 - January 4, 1999

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

September 24, 1987 - November 4, 1991

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/8/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/15/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/8/1996
General Securities Principal Examination

Current Firm

WS
WINDSOR STREET CAPITAL, LP
JANSSEN-MEYERS ASSOCIATES, L.P. | WINDSOR STREET CAPITAL, LP | ROAN/MEYERS ASSOCIATES, L.P. | ROAN-MEYERS ASSOCIATES, LP | MEYERS ASSOCIATES, L.P.

CRD#: 34171 / SEC#: , 8-46219

BD
Cancelled by SEC on 02/05/2020
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/01/1993
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MEYERS SECURITIES CORP.GENERAL PARTNER

Disclosures

Regulatory Event37
Arbitration15

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WINDSOR STREET CAPITAL, LP

CRD#: 34171

TRUST BUT VERIFY

Monitor Keith Carson

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics