Kenneth B. Keats
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.
Kenneth Brian Keats, who also goes by Ken Keats, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1988. Kenneth had worked at 9 firms and has passed the Series 63, SIE, Series 3 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
November 26, 2018 - January 23, 2023
SEAPORT GLOBAL SECURITIES LLC
July 28, 2014 - March 27, 2018
MIZUHO SECURITIES USA LLC
January 8, 2004 - July 30, 2014
DEUTSCHE BANK SECURITIES INC.
November 2, 2001 - June 5, 2003
CITIGROUP GLOBAL MARKETS INC.
October 9, 1998 - June 28, 2001
CITIGROUP GLOBAL MARKETS INC.
June 6, 1997 - December 18, 1998
CITICORP SECURITIES, INC.
May 14, 1994 - June 2, 1997
BERSEC INTERNATIONAL CORPORATION
June 23, 1993 - April 5, 1994
TRADITION SECURITIES AND DERIVATIVES LLC
July 13, 1988 - July 19, 1991
LEHMAN BROTHERS INC.
March 22, 1988 - April 7, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
