Keith O. Douglas
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 Oneil Douglas was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1988. Keith had worked at 14 firms and has passed the Series 63 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 9, 2001 - August 3, 2001
NEW WORLD FINANCIAL, INC.
April 9, 2001 - April 25, 2001
BISHOP, ROSEN & CO., INC.
June 1, 1999 - April 4, 2001
HAPOALIM SECURITIES USA, INC.
October 10, 1996 - June 1, 1999
STUART, COLEMAN & CO., INC.
July 21, 1993 - September 18, 1996
FIRST ASSET MANAGEMENT, INC.
August 1, 1991 - June 23, 1993
J. GREGORY & COMPANY, INC.
January 28, 1991 - May 20, 1991
CASTLE SECURITIES CORP.
October 22, 1990 - February 12, 1991
PRINCETON FINANCIAL GROUP, INC.
October 1, 1990 - November 12, 1990
LEGEND MERCHANT GROUP, INC.
June 25, 1990 - November 30, 1993
VANDERBILT SECURITIES, INC.
March 5, 1990 - June 27, 1990
MALONE & ASSOCIATES, INC.
August 23, 1989 - March 5, 1990
HASAN GROWNEY CO. INC.
July 12, 1989 - August 24, 1989
ROBYNS CAPITAL CORP.
May 25, 1988 - July 17, 1989
J. W. GANT & ASSOCIATES, 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
NEW WORLD FINANCIAL, INC.
CRD#: 47747 / SEC#: , 8-51915
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
