Virginia M. Keehan
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.
Virginia Marie Keehan, who also goes by VIrginia M Keehan, was a registered financial professional .
Virginia is a previously registered financial professional and started their career in finance in 1998. Virginia had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2014 - October 9, 2014
PURSHE KAPLAN STERLING INVESTMENTS
December 19, 2006 - May 10, 2012
MORGAN STANLEY DISTRIBUTION, INC.
February 9, 2004 - January 31, 2007
MORGAN STANLEY DW INC.
February 19, 1998 - September 1, 1998
SALOMON BROTHERS INC.
February 19, 1998 - April 15, 2002
CITIGROUP GLOBAL MARKETS 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
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
