Keith T. Shintani
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 Tadashi Shintani was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1989. Keith had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2001 - December 31, 2015
QUASAR DISTRIBUTORS, LLC
June 9, 1999 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
February 25, 1997 - February 13, 1998
CHARLES SCHWAB & CO., INC.
April 10, 1995 - January 21, 1997
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 9, 1995 - April 10, 1995
ASTRA FUND DISTRIBUTORS CORP.
November 21, 1994 - March 2, 1995
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
November 21, 1989 - November 21, 1994
PACIFIC SELECT DISTRIBUTORS, 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
Current Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
