Walter P. Keay
Professional summary
Walter Patterson Keay III is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Walter is registered as a RR (Registered Representative) and started their career in finance in 1987. Walter has worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Walter Patterson Keay III's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 22, 2011 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601April 30, 2008 - March 23, 2011
DOMINICK & DICKERMAN LLC
December 20, 2006 - April 24, 2008
JESUP & LAMONT SECURITIES CORP
November 17, 2004 - December 20, 2006
WESTMINSTER SECURITIES CORPORATION
December 20, 2003 - October 29, 2004
COVA CAPITAL PARTNERS LLC
July 20, 2000 - November 19, 2001
R.M. STARK & CO., INC.
February 10, 2000 - July 14, 2000
DIRKS & COMPANY, INC.
October 14, 1999 - January 28, 2000
ARJENT LTD.
June 27, 1990 - October 7, 1999
KNICKERBOCKER SECURITIES, INC.
July 21, 1987 - August 9, 1988
KEANE SECURITIES CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/22/2011)
(3/22/2011)
(4/14/2014)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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