Keith A. Gertsen
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 A Gertsen, who also goes by Keith Andrew Gertsen, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1993. Keith had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2017 - July 17, 2024
CITI PRIVATE ALTERNATIVES, LLC
April 23, 2013 - July 17, 2024
CITIGROUP GLOBAL MARKETS INC.
May 24, 2010 - July 17, 2024
CITIGROUP GLOBAL MARKETS INC.
June 30, 2006 - January 23, 2009
SANFORD C. BERNSTEIN & CO., LLC
February 2, 2006 - May 2, 2006
SARATOGA CAPITAL MARKETS
June 14, 1999 - February 23, 2004
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
January 25, 1993 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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 55
Date: 3/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
CITI PRIVATE ALTERNATIVES, LLC
CRD#: 153777 / SEC#: 801-71561, 8-69789
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP INVESTMENT PARTNERS | MEMBER | |
| CONWAY, JOHN JAMES | PRINCIPAL FINANCIAL OFFICER (FINOP) | 1584619 |
| DE ANDRADE, ROBERTO CARLOS | MANAGER | 5841299 |
| JEAN-BAPTISTE, ALEX | CHIEF COMPLIANCE OFFICER | 6828963 |
| ODONNELL, DANIEL GLENN | MANAGER | 3160132 |
| ODONNELL, NIALL | PRINCIPAL OPERATIONS OFFICER | 6830897 |
| REMAK, MICHAEL DAVID | CEO/MANAGER | 2914374 |
Regulatory assets under management
| Total Number of Accounts | 183 |
| AUM (Assets Under Management) | $ 18,347,749,864 |
Red Flags
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