Richard W. Keal
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.
Richard Wayne Keal, who also goes by Rich Keal, Rick Keal, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 16 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2013 - July 15, 2015
CONOVER CAPITAL MANAGEMENT
April 18, 2012 - September 12, 2012
OPTIMAL CAPITAL ADVISORS, LLC
August 23, 2010 - November 29, 2010
SYMBEQUITY INVESTMENT ADVISORY, LLC
January 4, 2010 - December 31, 2013
GENERATIONAL WEALTH ADVISORS, LLC
July 23, 2009 - April 25, 2011
COMPREHENSIVE WEALTH MANAGEMENT
June 20, 2008 - July 21, 2009
PHD WEALTH™, LLC
April 6, 2007 - October 29, 2007
PARK AVENUE SECURITIES LLC
August 20, 2004 - August 19, 2005
THE O.N. EQUITY SALES COMPANY
August 18, 2003 - October 7, 2003
ALLSTATE FINANCIAL SERVICES, LLC
October 12, 2001 - August 12, 2003
PARK AVENUE SECURITIES LLC
December 21, 2000 - April 6, 2001
NEW ENGLAND SECURITIES
March 22, 2000 - December 14, 2000
MONY SECURITIES CORPORATION
May 3, 1999 - April 12, 2000
PARK AVENUE SECURITIES LLC
June 17, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
March 6, 1996 - June 2, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
September 15, 1994 - February 9, 1996
WMA SECURITIES, INC.
April 12, 1994 - October 10, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 12, 1994 - October 10, 1994
OSAIC FA, INC.
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
CONOVER CAPITAL MANAGEMENT
CRD#: 118393 / SEC#: 801-103469
Contact information
Regulatory assets under management
| Total Number of Accounts | 334 |
| AUM (Assets Under Management) | $ 242,108,286 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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