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KM

Keith F. Mccluskey

BLOOMBERG TRADEBOOK LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 1614803
KM

Professional summary

Keith Francis Mccluskey, who also goes by Keith F Mccluskey, Keith Frances Mccluskey, is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in New York, New York and BLOOMBERG TRADEBOOK CANADA COMPANY located in New York, New York.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1992. Keith has worked at 7 firms and has passed the Series 63, SIE, Series 57, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith F Mccluskey | Keith Frances Mccluskey

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 Francis Mccluskey's 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

March 4, 2021 - Present

BLOOMBERG TRADEBOOK LLC

Office #1: 731 Lexington Ave, New York, NY 10022
BD
CRD#: 40881
New York, NY
Current

May 30, 2023 - Present

BLOOMBERG TRADEBOOK CANADA COMPANY

Office #1: 731 Lexington Ave, New York, NY 10022
BD
CRD#: 313267
New York, NY
Past

February 28, 2008 - June 10, 2019

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 14, 2005 - June 30, 2006

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

January 14, 2004 - December 14, 2004

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

July 17, 2001 - January 6, 2004

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

March 6, 1995 - January 12, 2001

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

February 5, 1992 - March 9, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Alabama
(6/24/2022)
RR
Alaska
(6/24/2022)
RR
Arizona
(6/24/2022)
RR
Arkansas
(6/24/2022)
RR
California
(6/24/2022)
RR
Colorado
(6/24/2022)
RR
Connecticut
(6/24/2022)
RR
Delaware
(6/24/2022)
RR
District of Columbia
(6/24/2022)
RR
Florida
(6/24/2022)
RR
Georgia
(6/24/2022)
RR
Hawaii
(6/24/2022)
RR
Idaho
(6/24/2022)
RR
Illinois
(6/24/2022)
RR
Indiana
(6/24/2022)
RR
Iowa
(6/24/2022)
RR
Kansas
(6/24/2022)
RR
Kentucky
(6/24/2022)
RR
Louisiana
(6/24/2022)
RR
Maine
(6/24/2022)
RR
Maryland
(6/24/2022)
RR
Massachusetts
(6/24/2022)
RR
Michigan
(6/24/2022)
RR
Minnesota
(6/24/2022)
RR
Mississippi
(6/24/2022)
RR
Missouri
(6/24/2022)
RR
Montana
(6/24/2022)
RR
Nebraska
(6/24/2022)
RR
Nevada
(6/24/2022)
RR
New Hampshire
(6/24/2022)
RR
New Jersey
(6/24/2022)
RR
New Mexico
(6/24/2022)
RR
New York
(3/4/2021)
RR
North Carolina
(6/24/2022)
RR
North Dakota
(6/24/2022)
RR
Ohio
(6/24/2022)
RR
Oklahoma
(6/24/2022)
RR
Oregon
(6/24/2022)
RR
Pennsylvania
(6/24/2022)
RR
Puerto Rico
(6/24/2022)
RR
Rhode Island
(6/24/2022)
RR
South Carolina
(6/24/2022)
RR
South Dakota
(6/24/2022)
RR
Tennessee
(6/24/2022)
RR
Texas
(6/24/2022)
RR
Utah
(6/24/2022)
RR
Vermont
(6/24/2022)
RR
Virginia
(6/24/2022)
RR
Washington
(6/24/2022)
RR
West Virginia
(6/24/2022)
RR
Wisconsin
(6/24/2022)
RR
Wyoming
(6/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/1992
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 57
Date: 1/9/2017
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/4/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/6/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/18/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

BT
BLOOMBERG TRADEBOOK CANADA COMPANY
BLOOMBERG TRADEBOOK CANADA COMPANY

CRD#: 313267 / SEC#: , 8-70683

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1
Mailing Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1
Phone number
(212) 617-4865
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BLOOMBERG CANADA LLCSOLE SHAREHOLDER
BENDER, GREGORYDIRECTOR5601000
BRIDGEFORD, SOH HYONGCHIEF COMPLIANCE OFFICER7114514
KAPLAN, PAUL WILLIAMPRESIDENT, DIRECTOR4092439
MILHAM, CHRISTOPHER MICHAELFINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO3092157
SANTORE, RICHARD RAYMOND IIIDIRECTOR4978129

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

BLOOMBERG TRADEBOOK CANADA COMPANY

CRD#: 313267New York, NY 10022

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