Daniel 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.
Daniel Laurence Keegan, who also goes by Dan Keegan, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 24, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2010 - May 18, 2015
LAVAFLOW, INC.
December 7, 2007 - June 28, 2022
CITIGROUP GLOBAL MARKETS INC.
April 13, 2006 - November 8, 2012
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
April 13, 2006 - August 10, 2018
CITI ORDER ROUTING AND EXECUTION, LLC
May 1, 2001 - April 8, 2005
J.P. MORGAN SECURITIES INC.
March 12, 1998 - May 1, 2001
JPMSI
November 29, 1997 - March 9, 1998
CITIGROUP GLOBAL MARKETS INC.
July 29, 1996 - March 9, 1998
SALOMON BROTHERS 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 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
LAVAFLOW, INC.
CRD#: 120444 / SEC#: , 8-65299
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| KEEGAN, DANIEL LAURENCE | DIRECTOR | 2756125 |
| MAKKER, SANJAY | DIRECTOR | 5018074 |
| PROCOPION, JOHN CONSTANTINE | PRESIDENT | 2760137 |
| PROCOPION, JOHN CONSTANTINE | CHIEF OPERATING OFFICER | 2760137 |
| SALIBA, RAMSEY | CFO / FINOP | 5358958 |
| SMITH, AZIBO ABDUL | VICE PRESIDENT | |
| TARLETON, JOHN KERMIT | CHIEF COMPLIANCE OFFICER | 1390864 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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