KB
Keith A. Birkhaeuser
DELAWARE DISTRIBUTORS, L.P.
Philadelphia, PA 19106
Some features on this profile are disabled
CRD#: 2905408
KB
Professional summary
Keith Allen Birkhaeuser, AIF® is a registered financial professional currently at DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1997. Keith has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Keith Allen Birkhaeuser's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
December 22, 2014 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106BD
CRD#: 14232
Philadelphia, PA
Past
November 3, 2000 - May 8, 2014
UBS SECURITIES LLC
BD
CRD#: 7654
BOSTON, MA
Past
August 29, 2000 - November 3, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 1, 1999 - May 17, 2000
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
May 3, 1999 - November 1, 1999
CLEARY GULL INC.
BD
CRD#: 45309
MILWAUKEE, WI
Past
November 21, 1997 - May 3, 1999
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
July 25, 1997 - November 6, 1997
SANFORD C. BERNSTEIN & CO., INC.
BD
CRD#: 1232
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/22/2017)
RR
Alaska(3/22/2017)
RR
Arizona(3/22/2017)
RR
Arkansas(3/22/2017)
RR
California(3/22/2017)
RR
Colorado(3/22/2017)
RR
Connecticut(3/22/2017)
RR
Delaware(3/22/2017)
RR
District of Columbia(3/22/2017)
RR
Florida(3/22/2017)
RR
Georgia(3/22/2017)
RR
Hawaii(3/22/2017)
RR
Idaho(3/22/2017)
RR
Illinois(3/22/2017)
RR
Indiana(3/22/2017)
RR
Iowa(3/22/2017)
RR
Kansas(3/22/2017)
RR
Kentucky(3/22/2017)
RR
Louisiana(3/22/2017)
RR
Maine(3/22/2017)
RR
Maryland(3/22/2017)
RR
Massachusetts(12/22/2014)
RR
Michigan(3/22/2017)
RR
Minnesota(3/22/2017)
RR
Mississippi(3/22/2017)
RR
Missouri(3/22/2017)
RR
Montana(3/22/2017)
RR
Nebraska(3/22/2017)
RR
Nevada(3/22/2017)
RR
New Hampshire(3/22/2017)
RR
New Jersey(3/22/2017)
RR
New Mexico(3/22/2017)
RR
New York(3/22/2017)
RR
North Carolina(3/27/2017)
RR
North Dakota(3/22/2017)
RR
Ohio(3/23/2017)
RR
Oklahoma(3/22/2017)
RR
Oregon(3/22/2017)
RR
Pennsylvania(12/22/2014)
RR
Puerto Rico(3/22/2017)
RR
Rhode Island(3/22/2017)
RR
South Carolina(3/22/2017)
RR
South Dakota(3/22/2017)
RR
Tennessee(3/22/2017)
RR
Texas(3/22/2017)
RR
Utah(3/22/2017)
RR
Vermont(3/22/2017)
RR
Virgin Islands(3/22/2017)
RR
Virginia(3/22/2017)
RR
Washington(3/22/2017)
RR
West Virginia(3/22/2017)
RR
Wisconsin(3/22/2017)
RR
Wyoming(3/22/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DELAWARE DISTRIBUTORS, L.P.
DELAWARE DISTRIBUTORS, L.P. | DELAWARE DISTRIBUTORS,INC.
CRD#: 14232 / SEC#: , 8-29755
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354
Mailing Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354
Phone number
(215) 255-1200
Established
Delaware since 12/21/1994
Firm type
Partnership
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
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.
