Walter R. Keay
Professional summary
Walter Roger Keay is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Walter is registered as a RR (Registered Representative) and started their career in finance in 1981. Walter has worked at 10 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 18, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Walter Roger Keay's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 22, 2011 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601April 21, 2008 - March 23, 2011
DOMINICK & DICKERMAN LLC
December 20, 2006 - April 24, 2008
JESUP & LAMONT SECURITIES CORP
November 17, 2004 - December 20, 2006
WESTMINSTER SECURITIES CORPORATION
September 10, 2004 - October 29, 2004
COVA CAPITAL PARTNERS LLC
April 7, 1989 - October 7, 1999
KNICKERBOCKER SECURITIES, INC.
January 18, 1985 - August 9, 1988
KEANE SECURITIES CO., INC.
September 10, 1984 - January 2, 1985
DEAK- PERERA SECURITIES, INC.
January 28, 1983 - May 9, 1984
S.G. WARBURG & CO. INC.
November 16, 1981 - October 13, 1982
T.J. SULLIVAN & CO., 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
(3/22/2011)
(3/22/2011)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 18
Date: 5/26/1977
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 9/17/1965
Registered Representative ExaminationSeries 40
Date: 5/24/1968
Registered Principal ExaminationFINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
| RISSER, SUZANNE LOUISE | CCO | 1303694 |
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.
