Keith E. Jackson
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 Edward Jackson, who also goes by Keith Edward Jackson, Keith Jackson, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1997. Keith had worked at 19 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 31, Series 7, Series 10, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2025 - October 7, 2025
LPL FINANCIAL LLC
August 29, 2025 - October 7, 2025
LPL FINANCIAL LLC
August 26, 2024 - December 5, 2024
LPL ENTERPRISE, LLC
July 31, 2024 - August 26, 2024
LPL FINANCIAL LLC
July 31, 2024 - December 5, 2024
LPL FINANCIAL LLC
March 18, 2024 - December 5, 2024
LPL ENTERPRISE, LLC
May 9, 2023 - June 9, 2023
ERNST & YOUNG INVESTMENT ADVISERS LLP
May 27, 2020 - August 18, 2023
SUMMIT GLOBAL INVESTMENTS, LLC
October 15, 2019 - December 31, 2022
VIGILANT DISTRIBUTORS, LLC
December 17, 2015 - October 5, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2015 - October 5, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2015 - December 18, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 27, 2015 - December 18, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 28, 2012 - February 5, 2013
MSI FINANCIAL SERVICES, INC.
December 8, 2011 - February 5, 2013
MSI FINANCIAL SERVICES, INC.
October 12, 2011 - November 11, 2011
ONEAMERICA SECURITIES, INC.
October 11, 2011 - November 11, 2011
ONEAMERICA SECURITIES, INC.
August 3, 2006 - September 13, 2010
CHARLES SCHWAB & CO., INC.
August 3, 2006 - September 13, 2010
CHARLES SCHWAB & CO., INC.
March 28, 2006 - August 8, 2006
FINANCIAL INTEGRITY ADVISORS, LLC
January 4, 2006 - July 21, 2006
FSC SECURITIES CORPORATION
November 15, 2005 - July 21, 2006
FSC SECURITIES CORPORATION
September 8, 2005 - October 19, 2005
ASSET & FINANCIAL PLANNING, LTD
September 8, 2005 - October 19, 2005
PRIME CAPITAL SERVICES, INC.
March 4, 2002 - June 2, 2005
JANNEY MONTGOMERY SCOTT LLC
March 29, 2001 - March 6, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 13, 2000 - March 10, 2001
DREYFUS INVESTMENT SERVICES COMPANY, LLC
July 27, 1999 - May 2, 2000
CAPITAL STRATEGIES LIMITED
September 26, 1997 - July 8, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 99TO
Date: 8/29/2025
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
