Keith A. Maier

QUEENBRIDGE CAPITAL

Pittsford, NY 14534

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CRD#: 1796266

Professional summary

Keith Alfred Maier, CFP® is a registered financial advisor currently at QUEENBRIDGE CAPITAL, LLC located in Pittsford, New York.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Keith has worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Alfred Maier's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

January 4, 2023 - Present

QUEENBRIDGE CAPITAL, LLC

Office #1: 1175 Pittsford Victor Rd. Suite 220, Pittsford, NY 14534

RIA

CRD#: 324027

Pittsford, NY

Past

May 26, 2011 - August 21, 2013

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

PITTSFORD, NY

Past

September 1, 2009 - May 27, 2011

ENSEMBLE FINANCIAL SERVICES, INC.

CRD#: 17443

PITTSFORD, NY

Past

March 4, 1996 - September 4, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

PITTSFORD, NY

Past

July 27, 1989 - March 1, 1996

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

February 5, 1988 - August 1, 1989

LEGEND CAPITAL CORPORATION

CRD#: 4149

PALM BEACH GARDENS, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUEENBRIDGE CAPITAL, LLC

CRD#: 324027 / SEC#: 801-126976

RIA

Registered Investment Advisory firm - (10/31/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(1/4/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/5/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/1/1988

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/4/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

QUEENBRIDGE CAPITAL, LLC

CRD#: 324027 / SEC#: 801-126976

RIA

Registered Investment Advisory firm - (10/31/2022 Approved)

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Contact information

Main Address

1175 Pittsford Victor Rd. Suite 220, Pittsford, NY 14534

Mailing Address

Phone number

(585) 348-9585

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

QUEENBRIDGE CAPITAL, LLC (1/24/2025)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 75,295,874

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.

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Advisor Monitoring

Firm Stability Insights

Keith A. Maier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Alfred Maier's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALL STREET FINANCIAL GROUP, INC.

ENSEMBLE FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

KEOGLER, MORGAN & COMPANY, INC.

LEGEND CAPITAL CORPORATION

Primary Firm SEC Registration

QUEENBRIDGE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/1988

Series 7

Date: 10/21/1989

Series 22

Date: 11/1/1988

Series 6

Date: 2/4/1988

Current Firm

QUEENBRIDGE CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUEENBRIDGE CAPITAL, LLC

TRUST BUT VERIFY

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