Michael J. 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.
Michael Joseph Keating, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Experience
April 18, 2024 - November 6, 2024
BNY MELLON SECURITIES CORPORATION
September 29, 2023 - October 2, 2023
J.P. MORGAN SECURITIES LLC
January 27, 2014 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
December 2, 2013 - October 9, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
September 12, 2007 - January 6, 2009
LEK SECURITIES CORPORATION
June 1, 2007 - January 5, 2009
JAMES E. COFFEY SECURITIES, INC.
July 12, 2005 - May 29, 2007
TRINITY TRADING CORP.
July 23, 2002 - July 22, 2005
ROCK ISLAND SECURITIES, INC.
March 11, 2002 - August 20, 2002
MORGAN STANLEY & CO. LLC
June 14, 1999 - March 4, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
August 7, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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 25
Date: 3/17/1999
NYSE Trading Assistant ExaminationCurrent Firm
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
