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Gregory Clark Keesecker

CRD# 2809959·Registered 1996 - 2000
Previously Registered: Being a previously registered professional could mean that Gregory 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.

Professional Summary

Gregory Clark Keesecker was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 1996 - 2000. Gregory had worked at 5 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

AC FINANCIAL, INC.·CRD# 21616
BD
Palm Harbor, FL
November 5, 1999 - February 10, 2000
VALIC FINANCIAL ADVISORS, INC.·CRD# 42803
BD
Houston, TX
March 3, 1999 - October 19, 1999
THE VARIABLE ANNUITY MARKETING COMPANY·CRD# 5081
BD
Houston, TX
February 26, 1998 - October 22, 1999
FEDERATED SECURITIES CORP.·CRD# 5009
BD
Pittsburgh, PA
September 9, 1997 - January 20, 1998
FAIRCHILD FINANCIAL GROUP, INC.·CRD# 21404
BD
New York, NY
December 5, 1996 - February 18, 1997

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Current Firm

AF
AC FINANCIAL, INC.

AC FINANCIAL, INC. | INVESTMENT OFFICES | C U FINANCIAL SERVICES

CRD#: 21616 / SEC#: 8-39118
BD
Terminated by SEC on 07/02/2000

Contact Information

Established

Maine since 07/31/1987

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
SANDS POINTE INTERNATIONALSHAREHOLDER—
FITTS, STEPHEN THOMASPRESIDENT2822850
TREFETHEN, JANE DUDLEYCFO2070765

Disclosures

Regulatory Event

1

Civil Event

1

Arbitration

1

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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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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1996About the Series 7 exam

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CRS (Client Relationship Summary)

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

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