Keith P Conner
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 P Conner, who also goes by Keith P Conner, Keith Pierre Conner, was a registered financial professional .
Keith P is a previously registered financial professional and started their career in finance in 1990. Keith P had worked at 5 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - July 25, 2012
BARCLAYS CAPITAL INC.
March 29, 2012 - July 25, 2012
BARCLAYS CAPITAL INC.
February 1, 2010 - November 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2009 - November 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 19, 2006 - July 31, 2008
MSI FINANCIAL SERVICES, INC.
April 29, 1993 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 1990 - March 9, 1993
LEHMAN BROTHERS 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
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
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.
