John L. Keegan
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.
John Louis Keegan, who also goes by Jack L Keegan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - November 5, 2015
AMERITAS INVESTMENT COMPANY, LLC
June 1, 2007 - January 9, 2013
PRINCIPAL SECURITIES, INC.
November 5, 2002 - June 1, 2007
AMERITAS INVESTMENT COMPANY, LLC
January 3, 2002 - November 5, 2002
INTERVEST INTERNATIONAL EQUITIES CORPORATION
September 17, 1997 - June 4, 1999
CAPITAL FINANCIAL SERVICES, INC.
January 3, 1992 - January 16, 2002
WOODBURY FINANCIAL SERVICES, INC.
January 16, 1990 - December 19, 1991
HARBOUR INVESTMENTS, INC.
February 10, 1987 - December 31, 1989
WOODBURY FINANCIAL SERVICES, INC.
February 3, 1982 - August 26, 1986
SENTRY EQUITY SERVICES, INC.
May 8, 1978 - January 23, 1980
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 16, 1977 - February 3, 1979
TIME EQUITIES, INC.
October 24, 1973 - June 18, 1977
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 10/18/1973
Registered Representative ExaminationCurrent Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
