Elaine C. Keeney
Professional summary
Elaine Carol Keeney, who also goes by Elaine K Nichols, Elaine Keeney Nichols, is a registered financial professional currently at ROOSEVELT & CROSS, INCORPORATED located in West Hartford, Connecticut.
Elaine is registered as a RR (Registered Representative) and started their career in finance in 1986. Elaine has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elaine Carol Keeney's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 1996 - Present
ROOSEVELT & CROSS, INCORPORATED
November 5, 1991 - January 9, 1996
U.S. SECURITIES, INC.
October 30, 1989 - November 1, 1991
BNE CAPITAL MARKETS, INC.
August 29, 1986 - August 29, 1989
NEW ENGLAND DISCOUNT BROKERAGE, 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
(3/27/2003)
(11/9/2001)
(1/2/1996)
(1/6/2017)
(1/2/1996)
(2/22/2018)
(8/15/2007)
(8/18/2020)
(1/2/1996)
(1/2/1996)
(1/2/1996)
(4/6/2004)
(1/2/1996)
(1/25/1996)
(1/2/1996)
(6/2/2005)
(12/12/2016)
(1/2/1996)
(7/29/2024)
(10/29/2018)
(1/2/1996)
(2/13/2020)
(1/30/2015)
Exams
FINRA
Current Firm
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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