Keith M. Bleich
Professional summary
Keith Michael Bleich 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 1994. Prior to being barred, Keith had worked at 4 firms, which includes HD BROUS & CO. INC., MORGAN GRANT CAPITAL CORP., INVESTORS ASSOCIATES INC., LCP CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1998 - May 1, 1998
HD BROUS & CO., INC.
June 30, 1997 - January 8, 1998
MORGAN GRANT CAPITAL CORP.
April 10, 1995 - September 25, 1997
INVESTORS ASSOCIATES, INC.
August 1, 1994 - May 2, 1995
LCP CAPITAL CORP.
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
Current Firm
HD BROUS & CO., INC.
CRD#: 22062 / SEC#: , 8-39382
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROUS, ELLEN | SECRETARY | 2375949 |
| BROUS, HOWARD DAVID | CHAIRMAN OF THE BOARD | 31868 |
| BROUS, ROBERT JASON | CHIEF EXECUTIVE OFFICER | 2999689 |
| DILLON, JOHN JOSEPH | DIRECTOR OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4470999 |
| GREEN, RUSSELL PAUL | CROP & SROP | 1391627 |
| REINKRAUT, BARRY A | FINOP | 1696327 |
| SINE, BARRY MICHAEL | SUPERVISORY ANALYST | 2155603 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 1 |
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.
