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KP

Keith W. Petzold

LIGHTSPEED FINANCIAL SERVICES GROUP LLC
Morristown, NJ 07960
Some features on this profile are disabled
CRD#: 2944070
KP

Professional summary

Keith William Petzold is a registered financial professional currently at LIGHTSPEED FINANCIAL SERVICES GROUP LLC located in Morristown, New Jersey.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1997. Keith has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 4, Series 14, Series 10, Series 9 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith William Petzold's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 1, 2018 - Present

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

Office #1: 20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
BD
CRD#: 104369
Morristown, NJ
Past

July 9, 2015 - May 11, 2018

STERLING SOFTWARE SERVICES, INC.

BD
CRD#: 159128
CHICAGO, IL
Past

October 26, 2010 - December 3, 2010

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
NEW YORK, NY
Past

March 25, 2010 - June 8, 2010

NOBLETRADING.COM, INC.

BD
CRD#: 119024
NEW YORK, NY
Past

January 17, 2008 - July 22, 2008

INTEGRITY TRADING, INC.

BD
CRD#: 104236
NEW YORK, NY
Past

March 21, 2005 - April 4, 2007

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

March 21, 2005 - May 15, 2018

LIGHTSPEED TRADING, LLC

BD
CRD#: 35519
JERICHO, NY
Past

September 7, 1999 - March 15, 2005

HD BROUS & CO., INC.

BD
CRD#: 22062
GREAT NECK, NY
Past

June 8, 1998 - June 29, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 26, 1997 - May 20, 1998

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
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
New York
(5/1/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/4/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/20/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/1/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 11/8/2001
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/23/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/17/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/4/1998
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LF
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
LIGHTSPEED | LIME BROKERAGE LLC | LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369 / SEC#: , 8-52843

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Mailing Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Phone number
(888) 577-3123
Established
Delaware since 08/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIGHTSPEED HOLDINGS LLCDIRECT OWNER
CHUN, YUEN NAFINOP2219603
GIBB, THOMAS ANTHONYPRESIDENT/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER4750905
NAIB, FARID AHMEDCEO6285310
PETZOLD, KEITH WILLIAMCHIEF COMPLIANCE OFFICER2944070
WEDBUSH FINANCIAL SERVICES, LLCDIRECT OWNER

Disclosures

Regulatory Event42

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.

Company Information

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369Morristown, NJ 07960

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