Philip K. Keating
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.
Philip K Keating was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1998. Philip had worked at 6 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
February 24, 2014 - December 21, 2017
LOEB PARTNERS CORPORATION
July 2, 2007 - June 21, 2011
FM PARTNERS HOLDINGS LLC
May 3, 2007 - June 21, 2011
LAZARD FRERES & CO. LLC
April 3, 2003 - April 17, 2007
GLEACHER & COMPANY SECURITIES, INC.
November 3, 2000 - March 28, 2003
UBS SECURITIES LLC
August 25, 1998 - November 3, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOEB PARTNERS CORPORATION
CRD#: 10929 / SEC#: 801-39571, 8-28004
Contact information
Disclosures
| Regulatory Event | 3 |
| Bond | 1 |
Red Flags
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