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KD

Keith Desanto

Some features on this profile are disabled
CRD#: 1880131
KD

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 Desanto, who also goes by Keith Lewis Desanto, was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 1989. Keith had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith Lewis Desanto

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 29, 2002 - September 19, 2008

GOLDES SECURITIES, INC.

BD
CRD#: 115248
NEW YORK, NY
Past

March 27, 1996 - May 13, 1996

TRADEPORTAL SECURITIES, INC.

BD
CRD#: 25001
ALISO VIEJO, CA
Past

July 27, 1995 - February 29, 1996

SMITH, BENTON & HUGHES, INC.

BD
CRD#: 20877
LOS ANGELES, CA
Past

April 20, 1995 - June 23, 1995

CLEARING SERVICES OF AMERICA, INC.

BD
CRD#: 23623
ST. LOUIS, MO
Past

August 25, 1994 - November 15, 1994

INSTITUTIONAL EQUITY CORPORATION

BD
CRD#: 19628
DALLAS, TX
Past

March 7, 1994 - July 7, 1994

JOSEPH ROBERTS & CO., INC.

BD
CRD#: 15971
POMPANO BEACH, FL
Past

November 23, 1993 - February 7, 1994

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

October 12, 1993 - November 22, 1993

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

February 18, 1992 - October 15, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 30, 1991 - March 10, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 8, 1989 - January 30, 1991

R.H.DAMON & CO., INC.

BD
CRD#: 23091
Past

January 24, 1989 - May 17, 1989

INDIVIDUAL'S SECURITIES LTD.

BD
CRD#: 7279
HUNTINGTON, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/2001
General Securities Principal Examination

Current Firm

GS
GOLDES SECURITIES, INC.
GOLDES SECURITIES, INC. | NYDSE, INC.

CRD#: 115248 / SEC#: , 8-53475

BD
Terminated by SEC on 09/05/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/20/2000
Firm type
Corporation
Fiscal year end
October
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GOLDES HOLDINGS, LLCOWNER / HOLDING COMPANY
DAVISON, MICHAEL EFINOP, COMPLIANCE OFFICER, SROP, CROP & GSP1984185
DESANTO, KEITH LEWISPRESIDENT, OPERATIONS MANAGER, & GSP1880131

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.

Company Information

GOLDES SECURITIES, INC.

CRD#: 115248

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