Keith A. Korch
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 Allen Korch, who also goes by Chip Korch, Keith A Korch, 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, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2018 - December 10, 2018
JOSEPH STONE CAPITAL L.L.C.
September 8, 2011 - May 31, 2018
WINDSOR STREET CAPITAL, LP
July 1, 2010 - September 8, 2011
ANDERSON & STRUDWICK, INCORPORATED
January 12, 2004 - July 7, 2010
JESUP & LAMONT SECURITIES CORP
November 6, 2001 - December 31, 2003
ANTAEUS CAPITAL, INC.
August 14, 2001 - September 7, 2001
A. G. EDWARDS & SONS, INC.
August 9, 1993 - June 18, 2001
TUCKER ANTHONY INCORPORATED
November 25, 1987 - May 17, 1994
UBS FINANCIAL SERVICES 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
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
