Christopher W. Keelin
Professional summary
Christopher William Keelin, who also goes by Chris Keelin, Christopher Keelin, is a registered financial professional currently at MONEY CONCEPTS CAPITAL CORP located in Alabaster, Alabama.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1995. Christopher has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher William Keelin's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 3, 2009 - Present
MONEY CONCEPTS CAPITAL CORP
September 8, 2008 - May 19, 2009
COMMONWEALTH CAPITAL SECURITIES CORP.
April 5, 2004 - January 4, 2007
CITIGROUP GLOBAL MARKETS INC.
April 5, 2004 - January 4, 2007
CITIGROUP GLOBAL MARKETS INC.
February 9, 2000 - April 5, 2004
MORGAN STANLEY DW INC.
July 26, 1999 - April 5, 2004
MORGAN STANLEY DW INC.
November 5, 1997 - July 14, 1999
INVESCO CAPITAL MARKETS, INC.
April 5, 1995 - January 23, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2009)
(12/5/2013)
(1/22/2015)
(11/9/2017)
(3/3/2015)
(6/22/2015)
Exams
FINRA
Current Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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