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KA

Keith A. Averill

Some features on this profile are disabled
CRD#: 1925846
KA

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 Allyn Averill was a registered financial advisor .

Keith is a previously registered financial advisor and started their career in finance in 1989. Keith had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

April 29, 2010 - October 15, 2010

H. ROARK & ASSOCIATES, INC.

BD
CRD#: 112898
RENO, NV
Past

October 21, 2009 - April 21, 2010

TANGENT CAPITAL PARTNERS, LLC

BD
CRD#: 146999
SHORT HILLS, NJ
Past

September 23, 2008 - December 31, 2011

TOP TIER MANAGERS

RIA
CRD#: 148174
RENO, NV
Past

October 12, 2007 - November 12, 2007

OSAIC SERVICES, INC.

RIA
CRD#: 133763
RENO, NV
Past

September 27, 2007 - November 12, 2007

OSAIC SERVICES, INC.

BD
CRD#: 133763
RENO, NV
Past

December 13, 2004 - October 3, 2005

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

August 27, 2002 - December 13, 2002

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
HIGHLAND PARK, IL
Past

July 13, 1999 - September 14, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 5, 1996 - August 20, 1998

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

December 10, 1993 - July 31, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 6, 1989 - August 23, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

March 6, 1989 - August 23, 1990

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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
IAR
Series 65
Date: 12/15/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/5/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/28/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HR
H. ROARK & ASSOCIATES, INC.
GLOBAL VANTAGE SECURITIES, LTD. | H. ROARK SECURITIES CORPORATION | H. ROARK INVESTMENT BANKING, INC. | H. ROARK & ASSOCIATES, INC.

CRD#: 112898 / SEC#: , 8-53267

BD
Terminated by SEC on 12/26/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Nebraska since 01/09/2001
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
H. ROARK & COMPANYINVESTOR/OWNER
WATSON, BOBBY LEECHAIRMAN/CEO4656961
WATSON, BOBBY LEECHIEF COMPLIANCE OFFICER4656961

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

H. ROARK & ASSOCIATES, INC.

CRD#: 112898

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