AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KM

Keith D. Mcgregory

Some features on this profile are disabled
CRD#: 2217000
KM

Professional summary

Keith Dwayne Mcgregory was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Keith is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Keith had worked at 6 firms, which includes DREXEL HAMILTON LLC, M. R. BEAL & COMPANY, LOOP CAPITAL MARKETS LLC, MELVIN SECURITIES L.L.C., GRUNTAL & CO. L.L.C., EMANUEL AND COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 6, 2013 - May 1, 2017

DREXEL HAMILTON, LLC

BD
CRD#: 143570
CHICAGO, IL
Past

August 8, 2005 - November 5, 2013

M. R. BEAL & COMPANY

BD
CRD#: 22088
CHICAGO, IL
Past

June 18, 1999 - August 11, 2005

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
CHICAGO, IL
Past

July 19, 1996 - June 2, 1999

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

September 28, 1992 - March 3, 1995

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

April 27, 1992 - September 30, 1992

EMANUEL AND COMPANY

BD
CRD#: 7309
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/15/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/7/2010
General Securities Principal Examination

Current Firm

DH
DREXEL HAMILTON, LLC
DREXEL HAMILTON, LLC

CRD#: 143570 / SEC#: , 8-67576

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
110 East 42nd Street Suite 1502, New York, NY 10017
Mailing Address
110 East 42nd Street Suite 1502, New York, NY 10017
Phone number
(212) 632-0400
Established
Pennsylvania since 12/13/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FELICE, ANTHONY PHILIPCHIEF EXECUTIVE OFFICER4441607
DOLL, LAWRENCE KIRKOWNER5236486
ELSAS, ROGER DEWITTOWNER200659
FAY, MELISSA JO HILEROWNER5360445
MARTINKO, JOHN CHRISTOPHEROWNER5286067
KIM, HYUNG SOWNER5653676
BRENNAN, PAUL FRANCISCHIEF OPERATING OFFICER2170928
EDWARDS, JOHN WILLIAM JR.CHIEF FINANCIAL OFFICER/FINOP1757360
MAGEE, MARY BRENNANTRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015
SANOK, EDWARD WILLIAMCHIEF COMPLIANCE OFFICER6301272
THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015OWNER

Disclosures

Regulatory Event3

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.

Company Information

DREXEL HAMILTON, LLC

CRD#: 143570

TRUST BUT VERIFY

Monitor Keith Mcgregory

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.