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KP

Keith B. Pipes

Some features on this profile are disabled
CRD#: 1577134
KP

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 Brian Pipes was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 1986. Keith had worked at 5 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 27, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1) MOASC PURCHASING NETWORK, INC. NON-PROFIT GROUP PURCHASING. NON-INVESTMENT RELATED. 4 HOURS PER MONTH. 1722 N. SECOND AVE., UPLAND, CA. DUTIES: SERVING THE MEDICAL ONCOLOGY ASSOCIATION OF SOUTHERN CA. SERVE ON BOARD OF DIRECTORS. START DATE 08/15/2007. 2) WESCOM CREDIT UNION. INVESTMENT RELATED. EVP LENDING & FINANCIAL SERVICES. START DATE 10/01/2009. DUTIES INCLUDE EXECUTIVE POSTION OVERSEEING LENDING, INSURANCE SERVICES. HOURS/MO 130. HOURS/TRADING HOURS 60. 123 S. MARENGO AVE., PASADENA, CA 91101. 3) BANK INSURANCE AND SECURITIES ASSOCIATION. INVESTMENT RELATED. DIRECTOR/TREASURER. 2025 M STREET NW SUITE 800, WASHINGTON, D.C. 20036. NON-PROFIT TRADE ASSOCIATION. ATTEND BOARD MEETINGS, CONFERENCES, AND PLAN DEVELOPMENT. START DATE: 3/2006. HOURS/MO 4. HOURS/TRADING HOURS 1.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 23, 2018 - February 7, 2023

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
Anaheim, CA
Past

April 8, 2004 - February 7, 2023

WESCOM FINANCIAL SERVICES

BD
CRD#: 125650
Anaheim, CA
Past

June 17, 2003 - July 13, 2018

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
Anaheim, CA
Past

March 11, 2002 - September 1, 2004

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
PASADENA, CA
Past

January 31, 2002 - September 1, 2004

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
SAN DIEGO, CA
Past

July 12, 2000 - January 3, 2002

COUNTRYWIDE INVESTMENT SERVICES, INC.

BD
CRD#: 103919
CHANDLER, AZ
Past

October 2, 1992 - April 27, 1998

WM FUND SERVICES, INC.

BD
CRD#: 30763
SEATTLE, WA
Past

December 26, 1986 - March 1, 1996

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/7/2000
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/24/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/2/2023
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/27/2003
Municipal Securities Principal Examination

Current Firm

WF
WESCOM FINANCIAL SERVICES
WESCOM FINANCIAL SERVICES | WESCOM FINANCIAL SERVICES, LLC | WESCOM FINANCIAL SERVICES LLC

CRD#: 125650 / SEC#: 801-113359, 8-66189

BD
Terminated by SEC on 04/09/2023
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Contact information

Main Address
5601 E. La Palma Ave, Anaheim, CA 92807
Mailing Address
Phone number
888-879-0558 EXT. 5104
Established
California since 01/22/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
31

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

WESCOM FINANCIAL SERVICES FORM ADV PART 2A_DISCLOSURE 4.19.18 (3/31/2022)

Direct owners and executive officers

NamePositionCRD#
WESCOM CENTRAL CREDIT UNIONSHAREHOLDER
ALLEN, JONATHON JAMESPRESIDENT2329509
ALLEN, JONATHON JAMESCHAIRMAN2329509
LAW, CINDYFINOP5433583
NASH, DIANA LYNN REEVESCCO2664062
PIPES, KEITH BRIANDIRECTOR1577134
WILLIAMS, DARRENDIRECTOR

Regulatory assets under management

Total Number of Accounts1,138
AUM (Assets Under Management)$ 226,085,019

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.

Company Information

WESCOM FINANCIAL SERVICES

CRD#: 125650

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Contact information

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