Keith M. Macdougall
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 Michael Macdougall was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1995. Keith had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2020 - December 31, 2020
SECURITIES AMERICA, INC.
June 12, 2019 - November 23, 2020
SECURITIES SERVICE NETWORK, LLC
February 24, 2004 - February 5, 2018
NATIONAL FINANCIAL SERVICES LLC
March 22, 2000 - January 2, 2004
AMSOUTH INVESTMENT SERVICES, INC.
February 24, 1999 - October 7, 1999
PIONEER SECURITIES, INC.
November 2, 1998 - November 24, 1999
INVEST FINANCIAL CORPORATION
October 9, 1995 - November 25, 1998
PIONEER SECURITIES, INC.
May 8, 1995 - November 13, 1995
INDEPENDENT FINANCIAL 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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