Keith P. Morgan
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 Patrick Morgan was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1987. Keith had worked at 8 firms and has passed the Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2017 - October 1, 2018
DAKOY CAPITAL MARKETS LLC
September 4, 2015 - January 4, 2016
BURKE & QUICK PARTNERS LLC
October 11, 2011 - April 3, 2014
DEALERWEB LLC
October 21, 2010 - October 7, 2011
RAFFERTY CAPITAL MARKETS, LLC
June 13, 2008 - January 6, 2009
RAFFERTY CAPITAL MARKETS, LLC
October 19, 2007 - March 31, 2008
RAFFERTY CAPITAL MARKETS, LLC
June 3, 2005 - October 22, 2007
BGC FINANCIAL, L.P.
November 4, 2004 - May 3, 2006
CASTLEOAK SECURITIES, LP
February 15, 2002 - August 19, 2004
ICAP SECURITIES USA LLC
July 24, 1989 - January 25, 2002
ICAP SECURITIES USA LLC
July 25, 1987 - August 3, 1989
FUNDAMENTAL BROKERS
State Registrations and Notice Filings
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Exams
Current Firm
DAKOY CAPITAL MARKETS LLC
CRD#: 169954 / SEC#: , 8-69401
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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