Keith Espinosa
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 Espinosa, who also goes by Keith Espinsona, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1998. Keith had worked at 5 firms and has passed the Series 56, Series 55, Series 7 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
April 29, 2011 - June 5, 2013
CHIMERA SECURITIES, LLC
May 30, 2003 - January 6, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
March 3, 2003 - March 19, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
January 8, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
January 18, 2002 - June 11, 2003
LION'S GROUP TRADING LLC
March 5, 1998 - June 22, 2001
WORLDCO, L.L.C.
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 56
Date: 10/28/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 4/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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