Edward H. Keiley
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.
Edward Hayes Keiley, who also goes by Edward Hayes Keiley III, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1992. Edward had worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 4, Series 27 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
July 7, 2010 - August 5, 2015
SPIDERROCK EXS, LLC
November 12, 2009 - June 5, 2023
R.J. O'BRIEN SECURITIES, LLC
April 9, 2009 - April 5, 2018
TMT EAST LLC
March 6, 2009 - August 31, 2018
TMT INVESTMENTS, LLC
December 21, 2007 - August 1, 2008
R.J. O'BRIEN SECURITIES, LLC
May 29, 2007 - November 27, 2012
XMS CAPITAL PARTNERS, LLC
February 23, 2004 - April 15, 2004
SILVER YOUNG STOCK ARB LLC
January 7, 2004 - June 19, 2015
RED CEDAR TRADING, LLC
December 19, 2003 - August 3, 2009
THIRD MILLENNIUM TRADING, LLC
June 3, 2003 - May 31, 2007
TJM INVESTMENTS, LLC
August 26, 2002 - June 6, 2003
CIBC PRIVATE WEALTH ADVISORS, INC.
September 10, 1997 - April 17, 2002
FIRST TRUST PORTFOLIOS L.P.
November 10, 1994 - August 14, 1996
COMMUNITY BROKERAGE SERVICES, INCORPORATED
July 19, 1993 - June 14, 1994
RELIABLE SECURITIES, INC.
January 7, 1992 - January 14, 1993
JOHN DAWSON & ASSOCIATES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/15/1999
Limited Representative-Equity Trader ExamCurrent Firm
SPIDERROCK EXS, LLC
CRD#: 148743 / SEC#: , 8-68062
Contact information
FINRA licenses (23 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
