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CK

Clint H. Keener

Some features on this profile are disabled
CRD#: 2250146
CK

Professional summary

Clint H Keener was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Clint is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Clint had worked at 8 firms, which includes CAPITAL CITY ASSET MANAGEMENT GROUP LLC, CAPITAL CITY SECURITIES LLC, WRP INVESTMENTS INC., STIFEL NICOLAUS & COMPANY INCORPORATED, KEYBANC CAPITAL MARKETS INC., MPI FINANCIAL, QUANTUM CAPITAL CORPORATION, THE HAMILTON-SHEA GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clint Harley Keener | Clint Keener

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

May 4, 2012 - October 31, 2019

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

RIA
CRD#: 134008
POWELL, OH
Past

May 3, 2012 - October 31, 2019

CAPITAL CITY SECURITIES, LLC

BD
CRD#: 146001
POWELL, OH
Past

April 29, 2009 - May 17, 2012

WRP INVESTMENTS, INC.

RIA
CRD#: 7365
GALION, OH
Past

March 16, 2009 - May 17, 2012

WRP INVESTMENTS, INC.

BD
CRD#: 7365
GALION, OH
Past

January 2, 2002 - October 8, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
MANSFIELD, OH
Past

November 29, 2001 - October 8, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
MANSFIELD, OH
Past

April 16, 1999 - December 5, 2001

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

March 27, 1998 - April 26, 1999

MPI FINANCIAL

BD
CRD#: 44361
COLUMBUS, OH
Past

January 2, 1997 - April 1, 1998

QUANTUM CAPITAL CORPORATION

BD
CRD#: 42307
COLUMBUS, OH
Past

August 6, 1996 - January 27, 1997

THE HAMILTON-SHEA GROUP, INC.

BD
CRD#: 37526
POMPANO BEACH, FL

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
IAR
Series 65
Date: 5/22/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/22/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/10/1996
General Securities Representative Examination

Current Firm

CC
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC | CAPITAL CITY PARTNERS ASSET MANAGEMENT GROUP, LLC | CAPITAL CITY PARTNERS ASSET MANAGEMENT GROUP

CRD#: 134008 / SEC#: 801-64792

RIA
Registered Investment Advisory firm - (11/24/2017 Terminated)
Florida
Registered Investment Advisory firm - (10/5/2017 Approved)
New York
Registered Investment Advisory firm - (12/16/2016 Approved)
North Carolina
Registered Investment Advisory firm - (4/21/2010 Terminated)
Ohio
Registered Investment Advisory firm - (7/21/2015 Approved)
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Contact information

Main Address
3789 Attucks Dr, Powell, OH 43065
Mailing Address
Phone number
(614) 485-0803
Established
Firm type
Fiscal year end
# of Employees
14

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts246
AUM (Assets Under Management)$ 43,328,751

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

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

CRD#: 134008

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