Stephen W. Keep
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.
Stephen Welton Keep was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 5 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2013 - November 7, 2017
PINEBRIDGE SECURITIES LLC
October 22, 2009 - January 3, 2012
CONNING INVESTMENT PRODUCTS, INC.
October 1, 1996 - March 24, 2004
GOLDMAN SACHS & CO. LLC
October 25, 1991 - October 1, 1996
GOLDMAN SACHS MONEY MARKETS, L.P.
March 26, 1986 - October 25, 1991
GOLDMAN SACHS MONEY MARKETS INC.
October 22, 1985 - March 11, 1986
GOLDMAN SACHS & CO. LLC
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 5
Date: 12/9/1985
Interest Rate Options ExaminationSeries 15
Date: 11/26/1985
Foreign Currency Options ExaminationCurrent Firm
PINEBRIDGE SECURITIES LLC
CRD#: 5967 / SEC#: , 8-16586
Contact information
FINRA licenses (52 States and Territories)
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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