Keith M. Spears
Professional summary
Keith Malcolm Spears is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Los Angeles, California.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1988. Keith has worked at 8 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Malcolm Spears's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2023 - Present
ANDES CAPITAL GROUP, LLC
Office #1: 5200 Wilshire Blvd. Suite 560, Los Angeles, CA 90036May 2, 2006 - March 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2006 - March 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2004 - August 26, 2005
ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS G.P., LLC
November 23, 2004 - August 24, 2005
MULLER & MONROE ASSET MANAGEMENT,LLC
October 22, 1999 - April 3, 2000
GENCAP SECURITIES, LLC
December 23, 1996 - March 10, 1999
CROMWELL, MILLER & GREER, INC.
April 7, 1993 - March 2, 1995
GOLDMAN SACHS & CO. LLC
October 21, 1988 - March 2, 1993
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2023)
Exams
Series 82TO
Date: 2/4/2023
Limited Representative-Private Securities OfferingsFINRA
Current Firm
ANDES CAPITAL GROUP, LLC
CRD#: 139212 / SEC#: , 8-67202
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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