Thomas K. Keough
Professional summary
Thomas Kevin Keough was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Thomas had worked at 9 firms, which includes BISHOP ROSEN & CO. INC., RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., JANNEY MONTGOMERY SCOTT LLC, UBS FINANCIAL SERVICES INC., D. BLECH & COMPANY INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2011 - July 22, 2011
BISHOP, ROSEN & CO., INC.
June 19, 2009 - March 9, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 13, 2006 - March 9, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 16, 2002 - April 17, 2006
MORGAN STANLEY DW INC.
April 7, 2000 - April 17, 2006
MORGAN STANLEY DW INC.
February 14, 1997 - April 12, 2000
JANNEY MONTGOMERY SCOTT LLC
September 8, 1994 - January 27, 1997
UBS FINANCIAL SERVICES INC.
March 30, 1994 - August 18, 1994
D. BLECH & COMPANY, INCORPORATED
May 7, 1992 - March 29, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 10, 1991 - May 22, 1992
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
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