Robert E. Keane
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.
Robert Edward Keane JR, who also goes by Bobby Keane Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2021 - January 2, 2024
WOOD (ARTHUR W.) COMPANY, INC.
March 13, 2017 - March 24, 2020
ALPS DISTRIBUTORS, INC.
January 9, 2017 - March 24, 2020
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
November 13, 2013 - July 6, 2016
ALPS DISTRIBUTORS, INC.
December 12, 2005 - February 6, 2012
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
September 30, 2005 - November 16, 2005
INSTINET, LLC
May 5, 2004 - November 16, 2005
BRIDGE TRADING COMPANY
August 13, 2001 - April 8, 2004
APEX CLEARING CORPORATION
January 4, 2000 - June 29, 2001
BRIDGE TRADING COMPANY
May 7, 1996 - November 23, 1999
THOMSON INSTITUTIONAL SERVICES 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
Current Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
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.
