Keith R. Gudhus
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 Robert Gudhus was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1998. Keith had worked at 8 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2013 - August 1, 2014
PUMA CAPITAL, LLC
November 23, 2010 - February 15, 2012
PIERPONT CAPITAL ADVISORS LLC
September 24, 2010 - December 17, 2010
COHEN & COMPANY CAPITAL MARKETS, LLC
November 4, 2009 - October 1, 2010
COHEN & COMPANY SECURITIES, LLC
June 3, 2009 - November 6, 2009
HFP CAPITAL MARKETS LLC
October 17, 2008 - February 26, 2009
TEJAS SECURITIES GROUP, INC.
June 12, 2007 - October 2, 2008
GUGGENHEIM SECURITIES, LLC
May 5, 1998 - November 20, 2000
GELBER SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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