Keith G. Daubenspeck
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.
Keith Gregory Daubenspeck was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1986. Keith had worked at 12 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
January 15, 2014 - March 28, 2016
AMERICAN TRUST INVESTMENT SERVICES, INC.
April 7, 1999 - November 20, 2012
ADVANCED EQUITIES, INC.
April 1, 1999 - July 28, 1999
PRIMEX
July 12, 1995 - October 30, 1998
MADISON SECURITIES, INC.
September 30, 1994 - June 7, 1995
LEXINGTON SECURITIES, INC.
March 18, 1993 - September 13, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 6, 1990 - January 25, 1993
CIBC WORLD MARKETS CORP.
October 27, 1988 - January 30, 1990
LEHMAN BROTHERS INC.
March 14, 1988 - November 5, 1988
J.P. MORGAN SECURITIES LLC
October 23, 1987 - April 14, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
March 27, 1987 - November 3, 1987
MOSELEY SECURITIES CORPORATION
February 19, 1986 - April 24, 1987
BLINDER, ROBINSON & 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
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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