Keith H. Rauschenbach
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 Henry Rauschenbach, who also goes by Keith H Rauschenbach, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1988. Keith had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - January 15, 2020
NUVEEN SECURITIES, LLC
October 22, 2004 - April 22, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 24, 2003 - September 27, 2019
TEACHERS PERSONAL INVESTORS SERVICES, INC.
October 19, 1994 - December 31, 1995
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 22, 1988 - November 18, 2003
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
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
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| 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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