Thomas W. Keesee
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.
Thomas Woodfin Keesee III, who also goes by Thomas W. Keesee III, Woody Keesee, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 3 firms and has passed the Series 63, SIE, 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
May 15, 2003 - January 27, 2017
CDK FINANCIAL SERVICES, LLC
January 4, 1994 - February 11, 2003
PACTUAL CAPITAL CORPORATION
May 20, 1992 - January 26, 1993
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CDK FINANCIAL SERVICES, LLC
CRD#: 124333 / SEC#: , 8-65657
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAPMAN, PETER HERBERT | PRINCIPAL, CHIEF COMPLIANCE OFFICER | 705757 |
Disclosures
| Regulatory Event | 6 |
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.
