Robert R. Keller
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.
Robert Renker Keller III, CFA, who also goes by Robert Keller, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 3 firms and has passed the SIE, Series 7, Series 52 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
July 6, 2017 - December 18, 2018
EZE CASTLE TRANSACTION SERVICES LLC
February 2, 1998 - February 14, 2000
APEX CLEARING CORPORATION
May 24, 1996 - February 2, 1998
FLEET SECURITIES 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
EZE CASTLE TRANSACTION SERVICES LLC
CRD#: 132246 / SEC#: , 8-66577
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
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.
