Walter R. Keay
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.
Walter Roger Keay was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1981. Walter had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2011 - March 31, 2026
PICKWICK CAPITAL PARTNERS, LLC
April 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
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 ExaminationCurrent 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.
