Keith A. Tobias

KESTRA INVESTMENT SERVICES

BOSTON, MA 02110

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CRD#: 1501003

Professional summary

Keith Allen Tobias is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Boston, Massachusetts.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1987. Keith has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Allen Tobias's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 8, 2012 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 265 Franklin St. Suite 1901, Boston, MA 02110

CRD#: 42046

BOSTON, MA

Past

July 16, 2009 - February 25, 2011

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

September 12, 2005 - October 10, 2008

RETIREMENT CAPITAL GROUP SECURITIES, INC.

CRD#: 126716

SAN DIEGO, CA

Past

December 19, 1996 - November 17, 2005

WESTPORT FINANCIAL SERVICES, L.L.C.

CRD#: 38449

JACKSONVILLE, FL

Past

March 1, 1996 - January 1, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

March 22, 1991 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

January 4, 1988 - December 31, 1989

G. R. PHELPS & CO., INC.

CRD#: 173

Past

January 13, 1987 - April 9, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/8/2012)

Colorado
(11/25/2013)

Florida
(11/25/2013)

Hawaii
(11/11/2013)

Illinois
(11/25/2013)

Massachusetts
(4/28/2023)

Minnesota
(11/25/2013)

Nevada
(10/8/2012)

New York
(4/28/2023)

North Carolina
(11/12/2013)

South Carolina
(11/25/2013)

Exams

State Security Law Exam

Series 63

Date: 6/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/12/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046 / SEC#: , 8-49672

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

5707 Southwest Parkway 2-125, Austin, TX 78746

Mailing Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Phone number

(844) 553-7872

Established

Texas since 09/01/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
KESTRA FINANCIAL, INC	SOLE MEMBER
AMORE, JOHN VINCENT	PRESIDENT	5430932
CHESTER, KRISTEN LAWLESS	CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT	6896952
KANT, VINAY	CHIEF DIGITAL TECHNOLOGY OFFICER	7976827
PEDLOW, MICHAEL ROSS	CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT	4871563
POER, JAMES LYNN	CHIEF EXECUTIVE OFFICER	1983357
SCHOENBECK, MARK PAUL	EXECUTIVE VICE PRESIDENT	2625829
YIN, YIN	CONTROLLER	3219513
ZEGERS, SCOTT MATTHEW	CHIEF FINANCIAL OFFICER	4831659

Disclosures

Regulatory Event	14
Arbitration	2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Keith A. Tobias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Allen Tobias's CRS (Customer Relationship Summary).

Certified licenses

Experience

CINCINNATI ANALYSTS, INC.

RETIREMENT CAPITAL GROUP SECURITIES, INC.

WESTPORT FINANCIAL SERVICES, L.L.C.

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

G. R. PHELPS & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/1997

SIE

Date: 10/1/2018

Series 6

Date: 1/12/1987

FINRA

Current Firm

KESTRA INVESTMENT SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KESTRA INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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