Keith E. Krause
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 Eric Krause, who also goes by Keith E Krause, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1989. Keith had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - September 11, 2020
CUSO FINANCIAL SERVICES, L.P.
September 16, 2019 - September 11, 2020
CUSO FINANCIAL SERVICES, L.P.
September 13, 2018 - August 23, 2019
MML INVESTORS SERVICES, LLC
July 13, 2018 - August 23, 2019
MML INVESTORS SERVICES, LLC
January 30, 2018 - June 5, 2018
W&S BROKERAGE SERVICES, INC.
July 17, 2014 - October 24, 2017
OSAIC INSTITUTIONS, INC.
July 9, 2014 - October 24, 2017
OSAIC INSTITUTIONS, INC.
December 11, 2012 - July 3, 2014
SWBC INVESTMENT SERVICES, LLC
December 6, 2012 - July 3, 2014
SWBC INVESTMENT COMPANY
November 22, 2011 - February 13, 2012
EQUITY SERVICES, INC.
June 2, 2011 - November 10, 2011
EAGLE STRATEGIES LLC
December 12, 2009 - November 10, 2011
NYLIFE SECURITIES LLC
October 23, 2009 - October 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 2, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 5, 2004 - November 2, 2007
M&T SECURITIES, INC.
August 5, 2003 - November 2, 2007
M&T SECURITIES, INC.
January 1, 1999 - August 5, 2003
CITIGROUP GLOBAL MARKETS INC.
June 19, 1998 - August 5, 2003
CITIGROUP GLOBAL MARKETS INC.
February 7, 1992 - June 26, 1998
FIRST UNION CAPITAL MARKETS CORP.
April 18, 1989 - February 14, 1992
ROBINSON & LUKENS, INC.
Primary Firm SEC Registration
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
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 8
Date: 9/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
