Richard K. Spayd
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.
Richard Keith Spayd, CFP®, who also goes by R Keith Spayd, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 4 firms and has passed the Series 65, 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
September 11, 2008 - December 25, 2017
NAVIAN CAPITAL SECURITIES LLC
October 15, 2001 - April 4, 2007
PNC CAPITAL MARKETS LLC
March 27, 1999 - October 4, 2000
FIFTH THIRD SECURITIES, INC.
February 28, 1997 - March 27, 1999
FIFTH THIRD SECURITIES, 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
Current Firm
NAVIAN CAPITAL SECURITIES LLC
CRD#: 145037 / SEC#: , 8-67695
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
