Jeffrey S. Keith
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.
Jeffrey Scott Keith, who also goes by Jeff Scott Keith, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 6 firms and has passed the Series 63, Series 3 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
January 25, 2010 - November 19, 2013
WILLIAMS TRADING LLC
February 19, 2009 - October 9, 2009
BTIG, LLC
January 29, 2002 - March 12, 2008
UBS SECURITIES LLC
February 23, 1999 - December 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 1997 - March 2, 1999
CITIGROUP GLOBAL MARKETS INC.
November 21, 1989 - September 1, 1998
SALOMON BROTHERS 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
WILLIAMS TRADING LLC
CRD#: 43678 / SEC#: , 8-50372
Contact information
FINRA licenses (31 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, DAVID BREWSTER | MANAGING MEMBER/GENERAL SECURITIES PRINCIPAL | 1715713 |
| GOERTZ, JOSEPH THOMAS | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | 5607738 |
| MARCIANO, LANCE DANIEL | CHIEF OPERATING OFFICER | 2261020 |
| MOONEY, MATTHEW BRIAN | REGISTERED OPTIONS PRINCIPAL | 3100953 |
| MOROVATI, BABAK BOBBY | CFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO | 5650049 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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