Keith G. Douglas
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.
Keith G Douglas, who also goes by Keith Greak Douglas, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1997. Keith had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 34, Series 3, Series 7, Series 55, Series 10, Series 9, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - April 3, 2024
B. RILEY WEALTH MANAGEMENT
May 26, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
August 23, 2018 - June 23, 2021
CHARLES SCHWAB & CO., INC.
June 19, 2017 - November 24, 2017
NEWBRIDGE SECURITIES CORPORATION
November 5, 2008 - April 21, 2017
TRADESTATION SECURITIES, INC.
April 28, 2008 - November 17, 2008
MORGAN STANLEY & CO. LLC
April 22, 2008 - November 17, 2008
MORGAN STANLEY & CO. LLC
October 9, 2007 - January 3, 2008
E*TRADE SECURITIES LLC
April 22, 2005 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
August 13, 2001 - January 4, 2002
WORLDCO, L.L.C.
June 23, 1998 - April 10, 2000
INVESTACORP, INC.
October 28, 1997 - February 6, 1998
JOSEPH CHARLES & ASSOC., 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
Series 55
Date: 3/9/2001
Limited Representative-Equity Trader ExamCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
