Keith A. Douglas
Professional summary
Keith Aaron Douglas is a registered financial advisor currently at UNITED ASSET STRATEGIES INC. located in Garden City, New York.
Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Keith has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Keith Aaron Douglas's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 2, 2024 - Present
UNITED ASSET STRATEGIES INC.
Office #1: 377 Oak Street Suite 403, Garden City, NY 11530February 12, 2019 - February 3, 2022
HEROLD & LANTERN INVESTMENTS, INC.
January 4, 2016 - March 27, 2017
HALLIDAY FINANCIAL, LLC
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
June 20, 1989 - January 30, 2014
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/2/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,029 |
| AUM (Assets Under Management) | $ 1,844,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/13/2025 | ||
| 01/27/2025 | ||
| 09/04/2024 | ||
| 12/20/2023 | ||
| 01/23/2023 | ||
| 05/02/2022 |
Red Flags
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