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KN

Keith T. Nezuh

LASALLE ST SECURITIES, L.L.C.
Montgomery, TX 77356
Some features on this profile are disabled
CRD#: 2473948
KN

Professional summary

Keith Thomas Nezuh is a registered financial professional currently at LASALLE ST SECURITIES, L.L.C. located in Montgomery, Texas.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1994. Keith has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Thomas Nezuh's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 30, 2022 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 212 Blue Hill Dr, Montgomery, TX 77356
BD
CRD#: 7191
Montgomery, TX
Past

February 1, 2019 - October 5, 2022

USA FINANCIAL SECURITIES LLC

BD
CRD#: 103857
SAINT CLOUD, FL
Past

January 23, 2015 - February 4, 2019

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
SAINT CLOUD, FL
Past

August 17, 2010 - January 21, 2015

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
CHARLOTTE, NC
Past

July 15, 2005 - August 18, 2010

MOORS & CABOT, INC.

BD
CRD#: 594
WINTER PARK, FL
Past

December 5, 2003 - August 29, 2005

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

July 29, 2002 - December 16, 2003

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

June 15, 2002 - July 30, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 14, 2000 - June 15, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

February 9, 1998 - February 14, 2000

WACHOVIA BROKERAGE SERVICE

BD
CRD#: 17503
WINSTON SALEM, NC
Past

February 18, 1997 - January 27, 1998

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

February 2, 1995 - January 27, 1997

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

May 27, 1994 - October 26, 1994

NELSON IVEST BROKERAGE SERVICES, INC.

BD
CRD#: 3002
WINTER PARK, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/30/2022)
RR
Colorado
(9/30/2022)
RR
Connecticut
(9/30/2022)
RR
District of Columbia
(7/18/2024)
RR
Florida
(9/30/2022)
RR
Georgia
(9/30/2022)
RR
Maine
(9/30/2022)
RR
Massachusetts
(10/3/2022)
RR
Michigan
(6/18/2024)
RR
Minnesota
(10/6/2022)
RR
New York
(9/30/2022)
RR
North Carolina
(9/30/2022)
RR
South Carolina
(9/30/2022)
RR
Tennessee
(7/12/2024)
RR
Texas
(9/30/2022)
RR
Washington
(9/30/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/15/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LASALLE ST SECURITIES, L.L.C.
LA SALLE ST. SECURITIES, INC. | LASALLE ST SECURITIES, L.L.C.

CRD#: 7191 / SEC#: , 8-18860

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Mailing Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Phone number
(630) 600-0500
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LASALLE ST. HOLDINGS LLC F/K/A MCDERMOTT HOLDINGS I, L.P.100% OWNER
BEAVER, REGAN ALANCHIEF COMPLIANCE OFFICER4621953
DROZD, MICHAEL MITCHELLCHIEF INVESTMENT OFFICER6015178
SCHLESSER, DANIEL JOHNC.F.O./TRES./C.O.O1788458

Disclosures

Regulatory Event15
Arbitration4
Bond1

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.

Company Information

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191Montgomery, TX 77356

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