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KR

Keith J. Ryan

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CRD#: 2709700
KR

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.

Keith James Ryan was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 2001. Keith had worked at 5 firms and has passed the Series 7, Series 6, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 9, 2007 - January 31, 2013

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD
CRD#: 5178
FORT WAYNE, IN
Past

July 9, 2007 - May 14, 2013

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

May 16, 2007 - January 31, 2013

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
FORT WAYNE, IN
Past

January 23, 2002 - October 27, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

February 8, 2001 - October 12, 2007

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

February 8, 2001 - May 14, 2013

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 3/12/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/7/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/6/2001
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/23/2001
General Securities Principal Examination

Current Firm

LF
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
JEFFERSON-PILOT EQUITY SALES, INC. | LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION | JEFFERSON-PILOT VARIABLE CORPORATION | JEFFERSON-PILOT INVESTOR SERVICES, INC.

CRD#: 5178 / SEC#: , 8-15753

BD
Terminated by SEC on 07/01/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
North Carolina since 01/13/1970
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LINCOLN NATIONAL CORPORATIONPARENT COMPANY
CAMPBELL, DELSON ROBERTVICE PRESIDENT, DIRECTOR2165812
COUTTS, JEFFREY DOUGLASSENIOR VICE PRESIDENT, TREASURER, DIRECTOR
ELDER, KENNETH J.AML OFFICER5949626
GOULD, PAUL NOBLEASSISTANT VICE PRESIDENT3073375
KLOUDA, MAUREEN ANNCOMPLIANCE MANAGER1159259
KROLL, BRIAN ANTHONYPRESIDENT, DIRECTOR5910026
PAWSAT, CARL RAYMONDINTERIM CHIEF FINANCIAL AND OPERATIONS PRINCIPAL6133845
SAMPLATSKY, LAWRENCE AVICE PRESIDENT & CHIEF COMPLIANCE OFFICER4268260
SKARIE, BRADLEY RAYASSISTANT VICE PRESIDENT2844865

Disclosures

Regulatory Event2

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.

Company Information

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

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