Brian C. Keating
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.
Brian Christopher Keating, CFP® was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1985. Brian had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2014 - December 31, 2015
SHOREPOINT CAPITAL PARTNERS LLC
January 19, 2005 - November 7, 2014
ORIENTEER FINANCIAL, INC.
November 4, 1994 - December 31, 1995
COMPASS SECURITIES CORPORATION
December 23, 1985 - December 8, 1987
EHRLICH-BOBER & CO., INC.
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
SHOREPOINT CAPITAL PARTNERS LLC
CRD#: 152087 / SEC#: 801-70760
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,107 |
| AUM (Assets Under Management) | $ 800,493,148 |
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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