Kevin R. Keating
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.
Kevin Robert Keating, who also goes by Kevin Keating, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1969. Kevin had worked at 11 firms and has passed the Series 63, Series 5, Series 3, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 1994 - December 31, 2006
BROOKSTREET SECURITIES CORPORATION
February 7, 1991 - July 1, 1994
COLLIERS SECURITIES LLC
November 20, 1990 - February 22, 1991
BARRON CHASE SECURITIES, INC.
March 9, 1987 - November 15, 1990
TAMARON INVESTMENTS, INC.
February 18, 1986 - February 13, 1987
BSI HOLDINGS, INC.
April 12, 1983 - February 6, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
January 5, 1983 - March 29, 1983
E. F. HUTTON & COMPANY INC
May 15, 1974 - September 27, 1976
T.O. RICHARDSON COMPANY, INC.
March 15, 1974 - April 5, 1982
DOUGLAS STEWART INCORPORATED
March 19, 1971 - April 6, 1974
UBS ASSET MANAGEMENT (US) INC.
October 3, 1969 - February 7, 1971
AUERBACH, POLLAK & RICHARDSON, 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
Series 5
Date: 12/17/1982
Interest Rate Options ExaminationSeries 1
Date: 6/3/1966
Registered Representative ExaminationSeries 40
Date: 6/21/1973
Registered Principal ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
