Keith S. Grundy
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 S Grundy, who also goes by Keith Stephen Grundy, Keith Grundy, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1988. Keith had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2015 - October 22, 2018
WELLS FARGO SECURITIES, LLC
October 10, 2012 - February 5, 2013
H2C SECURITIES INC.
June 1, 2007 - September 21, 2011
MORGAN KEEGAN & COMPANY, LLC
February 15, 2006 - June 13, 2007
SHATTUCK HAMMOND PARTNERS LLC
May 21, 1998 - January 17, 2002
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
August 25, 1994 - May 21, 1998
SHATTUCK HAMMOND PARTNERS INC.
December 20, 1988 - April 27, 1994
NUVEEN SECURITIES, 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
Exams
Series 7TO
Date: 8/4/2023
General Securities Representative ExaminationSeries 79TO
Date: 8/4/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 8/4/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 8/4/2023
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
