Arthur J. Keeffe
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.
Arthur John Keeffe II, who also goes by Art Keeffe II, Arthur John Keeffe, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1996. Arthur had worked at 5 firms and has passed the Series 63, Series 7 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 20, 2000 - December 4, 2000
WASHINGTON SECURITIES CORPORATION
May 5, 1998 - October 19, 1998
D.L. CROMWELL INVESTMENTS, INC.
September 26, 1996 - May 18, 1998
GLOBAL CROWN CAPITAL, LLC
July 26, 1996 - September 17, 1996
JOSEPHTHAL & CO., INC.
February 15, 1996 - July 11, 1996
NYLIFE SECURITIES LLC
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
WASHINGTON SECURITIES CORPORATION
CRD#: 46213 / SEC#: , 8-51359
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 6,975,967 |
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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