Keith M. Minnigerode
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 M Minnigerode, who also goes by Keith Morgan Minnigerode, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1992. Keith had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 31, Series 7, Series 24, Series 10, Series 9, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2017 - June 9, 2021
TD AMERITRADE, INC.
September 15, 2017 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 28, 2017 - June 9, 2021
TD AMERITRADE, INC.
July 2, 2013 - July 31, 2017
LPL FINANCIAL LLC
June 18, 2013 - July 31, 2017
LPL FINANCIAL LLC
March 15, 2011 - February 15, 2013
JHS CAPITAL ADVISORS, LLC
March 8, 2011 - February 15, 2013
JHS CAPITAL ADVISORS, LLC
October 9, 2009 - November 12, 2010
RBC CAPITAL MARKETS, LLC
October 9, 2009 - November 12, 2010
RBC CAPITAL MARKETS, LLC
September 18, 2006 - October 9, 2009
J. B. HANAUER & CO.
September 8, 2006 - October 9, 2009
J. B. HANAUER & CO.
October 7, 2004 - August 29, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 2004 - August 29, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 25, 2002 - October 4, 2004
QUICK & REILLY, INC.
June 23, 1997 - October 4, 2004
QUICK & REILLY, INC.
February 26, 1992 - April 24, 1997
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 12/5/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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