Keith J. Murray
Professional summary
Keith John Murray SR is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Naples, Florida.
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 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith John Murray SR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2022 - Present
VANDERBILT SECURITIES, LLC
August 3, 2009 - March 25, 2022
GRADIENT SECURITIES, LLC
July 8, 2000 - July 1, 2009
OSAIC FS, INC.
September 17, 1997 - July 8, 2000
POLARIS FINANCIAL SERVICES, 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
(4/12/2022)
(3/25/2022)
(3/29/2022)
(8/23/2022)
(4/4/2022)
(6/17/2024)
(3/29/2022)
(3/28/2022)
(3/29/2022)
(3/28/2022)
(3/31/2022)
(3/28/2022)
(3/29/2022)
(9/20/2023)
(3/31/2022)
Exams
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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