Keith A. Richard
Professional summary
Keith Allen Richard is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Houston, Texas.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1999. Keith has worked at 5 firms and has passed the Series 63, SIE, Series 50, Series 79, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Allen Richard's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2016 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 520 Post Oak Boulevard Suite 830, Houston, TX 77027Office #2: 2211 Buena Vista Street Suite 102, San Antonio, TX 78207Office #3: 206 S. Wild Basin Road Suite 107 - Bldg. A, Austin, TX 78746Office #5: Dominion Plaza 17304 Preston Road, Suite 800, Dallas, TX 75252June 1, 2010 - January 15, 2016
MORGAN STANLEY & CO. LLC
March 16, 2009 - May 18, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 2007 - May 18, 2010
BANC OF AMERICA SECURITIES LLC
June 23, 2003 - June 21, 2007
LEHMAN BROTHERS INC.
February 1, 1999 - June 6, 2003
SIEBERT WILLIAMS SHANK & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/19/2016)
(1/19/2016)
Exams
FINRA
Current Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
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.
