Keith Garte
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 Garte, who also goes by Jacobson Garte, Keith Scott Garte, Keith Jacobson, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1993. Keith had worked at 14 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2020 - April 2, 2021
WELLESLEY ASSET MANAGEMENT, INC.
January 10, 2020 - April 1, 2021
FORESIDE FUND SERVICES, LLC
April 19, 2018 - December 17, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2018 - December 17, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2015 - March 29, 2018
ARK GLOBAL, LLC
June 12, 2007 - March 13, 2015
COMPASS SECURITIES CORPORATION
November 9, 2004 - May 22, 2007
CHARLES SCHWAB & CO., INC.
November 29, 2000 - November 1, 2004
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
December 23, 1999 - November 21, 2000
METROPOLITAN LIFE INSURANCE COMPANY
December 23, 1999 - November 21, 2000
MSI FINANCIAL SERVICES, INC.
May 3, 1999 - January 10, 2000
PARK AVENUE SECURITIES LLC
December 23, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
May 4, 1994 - August 16, 1994
AMERIPRISE ADVISOR SERVICES, INC.
January 8, 1994 - March 8, 1994
CIBC WORLD MARKETS CORP.
January 18, 1993 - October 4, 1993
H.J. MEYERS & CO., INC.
Primary Firm SEC Registration
WELLESLEY ASSET MANAGEMENT, INC.
CRD#: 116176 / SEC#: 801-61288
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
WELLESLEY ASSET MANAGEMENT, INC.
CRD#: 116176 / SEC#: 801-61288
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,478 |
| AUM (Assets Under Management) | $ 2,063,684,848 |
Red Flags
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