David Sigmund Keller
Professional Summary
David Sigmund Keller was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1995 - 2022. David had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
LLOYDS SECURITIES | LLOYDS SECURITIES INC.
Contact Information
Main Address
1095 Avenue Of The Americas, New York, NY 10036Mailing Address
1095 Avenue Of The Americas, New York, NY 10036Phone Number
(212) 450-0800Established
Delaware since 03/11/2010Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LLOYDS AMERICA SECURITIES CORPORATION | SHAREHOLDER-COMMON STOCK | — |
| FALLAN, WESLEY ROBERT | PRESIDENT OF LLOYDS SECURITIES | 6313069 |
| FRIIS, PIA | CHIEF LEGALOFFICER/CHIEF RISKOFFICER | 5171132 |
| HILTON, ANNE DEBORAH | CHIEF COMPLIANCE OFFICER | 7061903 |
| HOUGHTON, ROSS ANDREW | CHIEF FINANCIAL OFFICER, NA | 6493863 |
| MANSFIELD, WILLIAM RENICK JR | CEO OF NORTH AMERICA FOR LLOYDS BANK CORPORATE MARKETS NORTH AMERICA | 1398078 |
| NADEL, MITCHELL NEIL | HEAD OF FINANCIAL MARKETS | 6157639 |
| ROWLANDS, MARK KEITH | PRINCIPAL FINANCIAL OFFICER & TREASURER | 6601550 |
| TRYPHONIDES, NICHOLAS | PRINCIPAL OPERATIONS OFFICER (POO), SECRETARY | 6446246 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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