KC
Keith M. Cardoza
BROWNSON, REHMUS & FOXWORTH
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2180952
KC
Professional summary
Keith Matthew Cardoza, who also goes by Keith M Cardoza, is a registered financial advisor currently at BROWNSON, REHMUS & FOXWORTH, INC. located in Chicago, Illinois.
Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Keith has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith M Cardoza
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.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Matthew Cardoza's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 30, 2009 - Present
BROWNSON, REHMUS & FOXWORTH, INC.
Office #1: 227 West Monroe Street Suite 1800, Chicago, IL 60606RIA
CRD#: 110608
Chicago, IL
Past
May 11, 1992 - March 18, 1996
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
BROWNSON, REHMUS & FOXWORTH, INC.
BROWNSON, REHMUS & FOXWORTH, INC.
CRD#: 110608 / SEC#: 801-79878
RIA
Registered Investment Advisory firm - (6/10/2014 Approved)Arizona
Registered Investment Advisory firm - (6/30/2014 Terminated)California
Registered Investment Advisory firm - (7/30/2014 Terminated)Colorado
Registered Investment Advisory firm - (7/30/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/8/2014 Terminated)Florida
Registered Investment Advisory firm - (6/30/2014 Terminated)Georgia
Registered Investment Advisory firm - (6/30/2014 Terminated)Illinois
Registered Investment Advisory firm - (6/10/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/2/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/2/2014 Terminated)Minnesota
Registered Investment Advisory firm - (6/30/2014 Terminated)New York
Registered Investment Advisory firm - (6/30/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/30/2014 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2014 Terminated)Oregon
Registered Investment Advisory firm - (12/21/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/1/2014 Terminated)Texas
Registered Investment Advisory firm - (6/30/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/1/2014 Terminated)Washington
Registered Investment Advisory firm - (6/30/2014 Terminated)Wisconsin
Registered Investment Advisory firm - (6/30/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(1/30/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
BR
BROWNSON, REHMUS & FOXWORTH, INC.
BROWNSON, REHMUS & FOXWORTH, INC.
CRD#: 110608 / SEC#: 801-79878
RIA
Registered Investment Advisory firm - (6/10/2014 Approved)Arizona
Registered Investment Advisory firm - (6/30/2014 Terminated)California
Registered Investment Advisory firm - (7/30/2014 Terminated)Colorado
Registered Investment Advisory firm - (7/30/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/8/2014 Terminated)Florida
Registered Investment Advisory firm - (6/30/2014 Terminated)Georgia
Registered Investment Advisory firm - (6/30/2014 Terminated)Illinois
Registered Investment Advisory firm - (6/10/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/2/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/2/2014 Terminated)Minnesota
Registered Investment Advisory firm - (6/30/2014 Terminated)New York
Registered Investment Advisory firm - (6/30/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/30/2014 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2014 Terminated)Oregon
Registered Investment Advisory firm - (12/21/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/1/2014 Terminated)Texas
Registered Investment Advisory firm - (6/30/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/1/2014 Terminated)Washington
Registered Investment Advisory firm - (6/30/2014 Terminated)Wisconsin
Registered Investment Advisory firm - (6/30/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
227 West Monroe Street Suite 1800, Chicago, IL 60606
Mailing Address
Phone number
(312) 346-5850
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,359 |
| AUM (Assets Under Management) | $ 4,270,994,216 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 10/21/2024 | ||
| 08/24/2023 | ||
| 09/12/2022 |
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.
