Keith W. Springer
Professional summary
Keith Wayne Springer was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Keith is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Keith had worked at 6 firms, which includes SPRINGER FINANCIAL ADVISORS, ROUND HILL SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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Experience
February 24, 1998 - September 17, 2020
SPRINGER FINANCIAL ADVISORS
May 15, 1996 - June 7, 2000
ROUND HILL SECURITIES, INC.
March 24, 1995 - April 29, 1996
WELLS FARGO CLEARING SERVICES, LLC
October 5, 1990 - April 4, 1995
PRUDENTIAL EQUITY GROUP, LLC
December 8, 1986 - October 15, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 1986 - December 22, 1986
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
SPRINGER FINANCIAL ADVISORS
CRD#: 111072 / SEC#: 801-57201
Contact information
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