Patrick G. Keegan
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.
Patrick Gerard Keegan, who also goes by Patrick Keegan, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1992. Patrick had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2017 - January 16, 2018
TRUIST ADVISORY SERVICES, INC.
May 5, 2017 - January 16, 2018
TRUIST INVESTMENT SERVICES, INC.
May 6, 2016 - March 2, 2017
RAYMOND JAMES & ASSOCIATES, INC.
May 3, 2016 - March 2, 2017
RAYMOND JAMES & ASSOCIATES, INC.
April 24, 2013 - March 30, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
April 22, 2013 - March 30, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 14, 2011 - January 11, 2013
MORGAN KEEGAN & COMPANY, LLC
March 11, 2011 - January 11, 2013
MORGAN KEEGAN & COMPANY, LLC
June 1, 2009 - February 23, 2011
MORGAN STANLEY
June 1, 2009 - February 23, 2011
MORGAN STANLEY
November 12, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 13, 2000 - November 1, 2004
CITIGROUP GLOBAL MARKETS INC.
August 25, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 6, 1992 - June 19, 1992
NYLIFE SECURITIES LLC
February 6, 1992 - September 3, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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 8
Date: 1/26/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
