Keith Edgar
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 Edgar was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1988. Keith had worked at 20 firms and has passed the Series 65, 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
November 9, 2009 - June 8, 2010
APS FINANCIAL CORPORATION
March 13, 2009 - November 19, 2014
CLEAR HAVEN CAPITAL MANAGEMENT, LLC
October 3, 2007 - November 27, 2007
TEJAS SECURITIES GROUP, INC.
February 15, 2007 - October 9, 2007
AURIA SERVICES CORP.
May 15, 2006 - November 17, 2006
STERNE, AGEE & LEACH, INC.
August 16, 2004 - May 9, 2006
BOK FINANCIAL SECURITIES, INC.
May 3, 2004 - May 26, 2004
INTERCAPITAL SECURITIES LLC
March 3, 2003 - May 28, 2004
TEJAS SECURITIES GROUP, INC.
May 29, 2001 - February 25, 2003
AMHERST SECURITIES GROUP, L.P.
July 12, 2000 - November 9, 2000
TULLETT PREBON FINANCIAL SERVICES LLC
July 12, 2000 - November 9, 2000
COLLINS STEWART (SECURITIES) INC.
September 9, 1998 - July 22, 1999
RBC CAPITAL MARKETS, LLC
July 28, 1998 - August 5, 1998
WACHOVIA SECURITIES, INC.
November 18, 1996 - February 2, 1998
AMHERST SECURITIES GROUP, L.P.
March 13, 1995 - November 13, 1996
SPIRES FINANCIAL, L.P.
December 8, 1994 - March 13, 1995
PINNACLE FINANCIAL, INC.
October 13, 1994 - November 23, 1994
AMHERST SECURITIES GROUP, L.P.
June 22, 1992 - August 24, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
June 2, 1992 - October 24, 1994
WESTCAP SECURITIES, L.P.
November 25, 1991 - June 9, 1992
COASTAL SECURITIES, INC.
September 4, 1990 - November 25, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
June 26, 1989 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
October 19, 1988 - June 8, 1989
WESTCAP SECURITIES, L.P.
October 19, 1988 - June 8, 1989
WESTCAP GOVERNMENT SECURITIES, 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
APS FINANCIAL CORPORATION
CRD#: 10033 / SEC#: , 8-26088
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 5 |
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.
