Keith C. Botti

PROFUNDS DISTRIBUTORS

Bethesda, MD 20814

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CRD#: 2932388

Professional summary

Keith Christopher Botti, CFP®, who also goes by Keith Christopher Botti Cfp, is a registered financial professional currently at PROFUNDS DISTRIBUTORS, INC. located in Bethesda, Maryland.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1997. Keith has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith Christopher Botti Cfp

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Christopher Botti'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®

CFP^®

Certified Financial Planner

Experience

Current

February 22, 2007 - Present

PROFUNDS DISTRIBUTORS, INC.

Office #1: 7272 Wisconsin Avenue 21st Floor, Bethesda, MD 20814

CRD#: 19541

Bethesda, MD

Past

February 9, 2006 - January 24, 2007

MERCANTILE BROKERAGE SERVICES, INC.

CRD#: 6784

BALTIMORE, MD

Past

June 10, 2004 - February 8, 2007

IMST DISTRIBUTORS, LLC

CRD#: 130745

BALTIMORE, MD

Past

October 30, 1997 - May 24, 2004

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(2/22/2007)

Maryland
(2/22/2007)

Exams

State Security Law Exam

Series 63

Date: 6/30/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/8/1999

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/28/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROFUNDS DISTRIBUTORS, INC.

CONCORD FINANCIAL GROUP, INC. | PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541 / SEC#: , 8-37601

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

7272 Wisconsin Ave. 21st Floor, Bethesda, MD 20814-6527

Mailing Address

7272 Wisconsin Ave. 21st Floor, Bethesda, MD 20814-6527

Phone number

(240) 497-6400

Established

Delaware since 12/22/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PROFUND ADVISORS LLC	SOLE SHAREHOLDER	109585
COHEN, STEVEN BRIAN	PRESIDENT	2737221
FRYE, VICTOR MORSE	CHIEF COMPLIANCE OFFICER	1253717
MORONEY, NOELLE	FINOP/TREASURER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONAL OFFICER	6582471
MORRIS, RICHARD FRANCIS	CHIEF LEGAL OFFICER	5097044

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

Keith C. Botti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Christopher Botti's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCANTILE BROKERAGE SERVICES, INC.

IMST DISTRIBUTORS, LLC

GUGGENHEIM DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/2003

SIE

Date: 10/1/2018

Series 3

Date: 5/8/1999

Series 7

Date: 10/28/1997

FINRA

Current Firm

PROFUNDS DISTRIBUTORS, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PROFUNDS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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