AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KM

Keith R. Mcfadyen

SIA SECURITIES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 1614457
KM

Professional summary

Keith Ray Mcfadyen is a registered financial professional currently at SIA SECURITIES CORPORATION located in Minneapolis, Minnesota.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1991. Keith has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Ray Mcfadyen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

October 11, 2016 - Present

SIA SECURITIES CORPORATION

Office #1: 3300 Ids Center 80 S. 8th Street, Minneapolis, MN 55402
BD
CRD#: 35403
Minneapolis, MN
Past

April 19, 2016 - July 15, 2016

THE M & A GROUP LLC

BD
CRD#: 144909
SARASOTA, FL
Past

June 12, 2015 - January 29, 2016

CAVU SECURITIES LLC

BD
CRD#: 6906
NEW YORK, NY
Past

July 25, 2012 - December 17, 2014

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

September 15, 2011 - May 2, 2012

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
BOSTON, MA
Past

March 31, 2011 - June 14, 2011

GRANT WILLIAMS L.P.

BD
CRD#: 45961
PHILADELPHIA, PA
Past

January 2, 2008 - November 27, 2009

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

April 25, 2003 - January 23, 2006

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

May 24, 2002 - January 16, 2003

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
PARSIPPANNY, NJ
Past

July 17, 2001 - January 16, 2003

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ
Past

November 14, 1996 - May 23, 2001

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

July 9, 1996 - November 6, 1996

ARM SECURITIES CORPORATION

BD
CRD#: 932
MINOT, ND
Past

November 11, 1993 - January 1, 1996

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

BD
CRD#: 13066
Past

March 31, 1992 - September 28, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 18, 1991 - April 22, 1992

DOUGHERTY DAWKINS LLC

BD
CRD#: 7442
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(10/3/2017)
RR
Illinois
(12/5/2016)
RR
Indiana
(10/23/2017)
RR
Iowa
(10/20/2016)
RR
Kansas
(10/17/2016)
RR
Kentucky
(10/30/2017)
RR
Maine
(3/20/2020)
RR
Maryland
(11/28/2017)
RR
Massachusetts
(11/2/2017)
RR
Michigan
(12/20/2016)
RR
Minnesota
(12/27/2016)
RR
Missouri
(11/9/2017)
RR
Nebraska
(6/13/2018)
RR
New Hampshire
(4/8/2020)
RR
New Jersey
(10/4/2017)
RR
New York
(1/31/2017)
RR
Ohio
(9/25/2017)
RR
Pennsylvania
(10/10/2017)
RR
Vermont
(1/18/2019)
RR
Virginia
(1/22/2019)
RR
Wisconsin
(10/14/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/5/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SIA SECURITIES CORPORATION
SIA SECURITIES CORP. | SIA SECURITIES CORPORATION

CRD#: 35403 / SEC#: , 8-46668

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3300 Ids Center 80 S. 8th Street, Minneapolis, MN 55402
Mailing Address
3300 Ids Center 80 S. 8th Street, Minneapolis, MN 55402
Phone number
(612) 332-3223
Established
Minnesota since 06/19/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIT INVESTMENT ASSOCIATES, INC.SHAREHOLDER
RASMUSSEN, PAUL EDWARDPRESIDENT, TREASURER, CHIEF COMPLIANCE OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2421880
SIT, ROGER JDIRECTOR, CHAIRMAN2174779

Disclosures

Regulatory Event1

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

SIA SECURITIES CORPORATION

CRD#: 35403Minneapolis, MN 55402

TRUST BUT VERIFY

Monitor Keith Mcfadyen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Chad Jonathan Rusten
Chad RustenAdvisorCheck Check Mark
ELEMENT SQUARED PRIVATE WEALTH
IAR
Minneapolis, MN
JD
Janai DeittAdvisorCheck Check Mark
THRIVENT INVESTMENT MANAGEMENT INC.
IAR
RR
McKinney, TX
SS
Steven SchmidtAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
ST. LOUIS PARK, MN
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics