Keith W. Reed
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 Warrick Reed was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1996. Keith had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2021 - October 26, 2021
ALLSTATE FINANCIAL SERVICES, LLC
June 26, 2020 - September 23, 2021
OSAIC WEALTH, INC.
September 27, 2016 - May 4, 2018
EMPOWER FINANCIAL SERVICES, INC.
March 6, 2008 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 21, 2008 - June 17, 2016
CABANA ADVISORS, LLC
September 15, 2004 - October 29, 2007
TRANSAMERICA CAPITAL, LLC
April 23, 2004 - June 8, 2004
JOHN HANCOCK DISTRIBUTORS LLC
February 21, 2001 - January 21, 2004
TRANSAMERICA CAPITAL, LLC
May 9, 1997 - February 26, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 17, 1997 - May 9, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
July 15, 1996 - January 16, 1997
WMA SECURITIES, 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
Exams
Series 6TO
Date: 3/4/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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