Christine K. Keating
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.
Christine Klimas Keating, who also goes by Christine K Keating, Christine E Klimas, Christine Elizabeth Klimas, Christine Klimas Laflamme, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1997. Christine had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2016 - May 1, 2017
HIGHTOWER SECURITIES, LLC
May 26, 2016 - October 28, 2016
CAPITAL INVESTMENT GROUP, INC.
December 13, 2005 - April 14, 2015
SANDERS MORRIS LLC
May 9, 2001 - December 8, 2005
OSAIC WEALTH, INC.
March 7, 2000 - September 12, 2000
CUNA BROKERAGE SERVICES, INC.
October 1, 1998 - July 30, 1999
FIRST UNION BROKERAGE SERVICES, INC.
June 30, 1997 - August 24, 1998
MECHANICS INVESTMENT SERVICES, INC.
January 7, 1997 - July 17, 1997
APEX CLEARING 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
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
