Keith K. Lemley
Professional summary
Keith Kirkpatrick Lemley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Keith is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Keith had worked at 8 firms, which includes MORGAN KEEGAN & COMPANY LLC, COLONIAL ASSET MANAGEMENT INC, COLONIAL BROKERAGE INC., FIFTH THIRD SECURITIES INC., A. G. EDWARDS & SONS INC., MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2009 - March 10, 2011
MORGAN KEEGAN & COMPANY, LLC
October 21, 2009 - March 10, 2011
MORGAN KEEGAN & COMPANY, LLC
November 8, 2007 - October 21, 2009
COLONIAL ASSET MANAGEMENT INC
October 18, 2007 - October 21, 2009
COLONIAL BROKERAGE, INC.
September 27, 2006 - June 29, 2007
FIFTH THIRD SECURITIES, INC.
September 15, 2006 - June 29, 2007
FIFTH THIRD SECURITIES, INC.
August 10, 2005 - May 1, 2006
A. G. EDWARDS & SONS, INC.
July 20, 2005 - May 1, 2006
A. G. EDWARDS & SONS, INC.
September 27, 1999 - January 31, 2002
MORGAN STANLEY DW INC.
May 30, 1997 - August 18, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 1996 - June 17, 1997
CITIGROUP GLOBAL MARKETS INC.
July 23, 1986 - August 20, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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