Shay Keren
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.
Shay Keren, who also goes by Shai Keren, was a registered financial professional .
Shay is a previously registered financial professional and started their career in finance in 1998. Shay had worked at 9 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2005 - May 15, 2007
GUNNALLEN FINANCIAL, INC
January 27, 2004 - April 21, 2005
CARLTON CAPITAL INC.
July 8, 2002 - October 21, 2003
MAY, DAVIS GROUP INC.
January 23, 2002 - June 20, 2002
FIRST MONTAUK SECURITIES CORP.
October 1, 2001 - January 28, 2002
HORNBLOWER & WEEKS, INC.
June 7, 2001 - September 26, 2001
MAY, DAVIS GROUP INC.
September 27, 2000 - June 7, 2001
KIRLIN SECURITIES INC.
April 11, 2000 - September 22, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
May 27, 1999 - March 7, 2000
JOSEPHTHAL & CO., INC.
July 13, 1998 - July 13, 1998
BNY MELLON SECURITIES CORPORATION
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
