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KN

Keith G. Nelson

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CRD#: 2745776
KN

Professional summary

Keith Gregory Nelson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Keith is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Keith had worked at 3 firms, which includes FIRST PROVIDENCE FINANCIAL GROUP LLC, FOSTER JEFFRIES SECURITIES LLC, MEYERS POLLOCK ROBBINS INC..

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.

Blog Corner

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

June 26, 1998 - May 29, 2001

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

December 8, 1997 - June 26, 1998

FOSTER JEFFRIES SECURITIES, LLC

BD
CRD#: 30144
WESTBURY, NY
Past

February 13, 1997 - May 27, 1998

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 10/18/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/10/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/2000
General Securities Principal Examination

Current Firm

FP
FIRST PROVIDENCE FINANCIAL GROUP, LLC
FIRST PROVIDENCE FINANCIAL GROUP, INC. | WINTERGREEN FINANCIAL GROUP, INC. | FIRST PROVIDENCE FINANCIAL GROUP, LLC

CRD#: 39469 / SEC#: , 8-48710

BD
Terminated by SEC on 03/03/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/02/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MADISON AVE ASSOCIATES, LLCOWNER
KLEIN, KENNETH MICHAELCEO2080654
MEYERS, JOHN MSROP, CROP, V.P.2580153
SCHAEFER, STEVEN WALTERCCO, V.P.1894353
SMITH, THOMAS ANDREWTREASURER/FINOP2876601
WASSERMAN, PAUL GABRIELPRESIDENT2172075

Disclosures

Regulatory Event3
Arbitration1

Red Flags

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Company Information

FIRST PROVIDENCE FINANCIAL GROUP, LLC

CRD#: 39469

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