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KS

Keith M. Sipes

BDO CAPITAL ADVISORS
CHICAGO, IL 60611
Some features on this profile are disabled
CRD#: 2253253
KS

Professional summary

Keith Marshall Sipes is a registered financial professional currently at BDO CAPITAL ADVISORS, LLC located in Chicago, Illinois.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1995. Keith has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view Keith Marshall Sipes's CRS (Customer Relationship Summary).

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

Current

October 30, 2025 - Present

BDO CAPITAL ADVISORS, LLC

Office #1: 330 North Wabash, Suite 3200, Chicago, IL 60611
BD
CRD#: 109679
CHICAGO, IL
Past

May 23, 2022 - January 13, 2025

SYNOVUS SECURITIES, INC.

BD
CRD#: 14023
ATLANTA, GA
Past

July 1, 2021 - May 24, 2022

BERENSON & COMPANY, LLC

BD
CRD#: 28016
NEW YORK, NY
Past

August 10, 2016 - April 2, 2021

STOUT CAPITAL, LLC

BD
CRD#: 127302
LOS ANGELES, CA
Past

June 17, 2014 - June 30, 2016

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
LOS ANGELES, CA
Past

March 19, 2013 - June 23, 2014

KROLL SECURITIES LLC

BD
CRD#: 36927
LOS ANGELES, CA
Past

July 10, 2010 - March 4, 2013

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
SAN FRANCISCO, CA
Past

March 18, 2010 - March 25, 2010

CHINA ECAPITAL PARTNERS, LLC

BD
CRD#: 150251
SANTA MONICA, CA
Past

March 18, 2010 - July 16, 2010

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

July 27, 2006 - March 30, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 3, 2004 - May 9, 2006

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

December 5, 2000 - February 26, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 2, 1999 - August 27, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 6, 1995 - April 28, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/30/2025)
RR
California
(10/30/2025)
RR
Colorado
(10/30/2025)
RR
Connecticut
(10/30/2025)
RR
District of Columbia
(10/30/2025)
RR
Florida
(10/30/2025)
RR
Georgia
(10/30/2025)
RR
Illinois
(10/30/2025)
RR
Indiana
(10/30/2025)
RR
Iowa
(10/30/2025)
RR
Maryland
(10/30/2025)
RR
Massachusetts
(10/30/2025)
RR
Michigan
(10/30/2025)
RR
Missouri
(10/30/2025)
RR
Nevada
(10/30/2025)
RR
New Jersey
(10/30/2025)
RR
New York
(10/30/2025)
RR
North Carolina
(10/30/2025)
RR
Ohio
(10/30/2025)
RR
Oregon
(10/30/2025)
RR
Rhode Island
(10/30/2025)
RR
Tennessee
(10/30/2025)
RR
Texas
(10/30/2025)
RR
Utah
(10/30/2025)
RR
Vermont
(10/30/2025)
RR
Virginia
(10/30/2025)
RR
Washington
(10/30/2025)
RR
Wisconsin
(10/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/30/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/11/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BDO CAPITAL ADVISORS, LLC
BDO CAPITAL ADVISORS, LLC | TRENWITH SECURITIES, LLC | BDO CORPORATE FINANCE, LLC

CRD#: 109679 / SEC#: , 8-53100

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One International Place 4th Floor, Boston, MA, 02110
Mailing Address
One International Place 4th Floor, Boston, MA, 02110
Phone number
(617) 442-7576
Established
Delaware since 12/14/1999
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRENWITH GROUP, LLCHOLDING COMPANY
FRANK, JASON REEDCEO/CCO4670322
HEAD, BLAKE JACKSONPRINCIPAL6611446
THORNTON, STEVEN LEEFINOP4496384

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

BDO CAPITAL ADVISORS, LLC

CRD#: 109679Chicago, IL 60611

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