Gary M. Keyes
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.
Gary Marvin Keyes, who also goes by G M Keyes, Gary M Keyes, Gary Keyes, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1994. Gary had worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2013 - September 26, 2013
J.W. COLE FINANCIAL, INC.
January 1, 2011 - May 27, 2011
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
September 25, 2003 - December 31, 2008
1ST DISCOUNT BROKERAGE, INC.
July 3, 2002 - July 22, 2003
JAMES WHEELER & CO. INVESTMENTS, INC.
June 28, 2001 - July 2, 2002
WESTERN INTERNATIONAL SECURITIES, INC.
March 29, 1999 - June 27, 2001
INTERFIRST CAPITAL CORPORATION
January 2, 1998 - December 17, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 3, 1997 - January 2, 1998
AEGON USA SECURITIES INC.
January 24, 1997 - February 7, 1997
H.J. MEYERS & CO., INC.
September 11, 1996 - January 9, 1997
FIMCO SECURITIES GROUP, INC.
February 11, 1995 - September 6, 1996
CITIGROUP GLOBAL MARKETS INC.
November 8, 1994 - January 23, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
