John R. Keim
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.
John Richard Keim, who also goes by John Keim, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Dickinson College
Bachelor of Arts (BA) - Economics
1985
Experience
July 13, 2018 - April 26, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 25, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
July 13, 2017 - April 25, 2023
FIDELITY BROKERAGE SERVICES LLC
June 20, 2017 - June 27, 2017
PTX SECURITIES, LLC
April 14, 2015 - June 8, 2017
SHAMROCK ASSET MANAGEMENT LLC
March 5, 2013 - September 22, 2014
BANYAN PARTNERS, LLC
August 14, 1996 - December 5, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
January 12, 1995 - August 6, 1996
INVESCO CAPITAL MARKETS, INC.
August 17, 1994 - January 12, 1995
AMERICAN CAPITAL MARKETING, INC.
December 6, 1993 - August 22, 1994
FIRST PRIORITY INVESTMENT CORPORATION
July 14, 1992 - December 21, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
June 30, 1988 - March 18, 1989
GREEN HILL FINANCIAL SERVICE CORPORATION
August 22, 1985 - December 15, 1986
AETNA FINANCIAL SERVICES, INC.
August 22, 1985 - July 18, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Financial ConsultantCRD#: 288590TRUST BUT VERIFY
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