Keino Carty
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.
Keino Carty, who also goes by Keino D Carty, was a registered financial professional .
Keino is a previously registered financial professional and started their career in finance in 1999. Keino had worked at 8 firms and has passed the Series 63, Series 7, Series 10 and Series 9 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, 2012 - May 2, 2012
ALLY SECURITIES LLC
August 30, 2005 - September 29, 2009
BANC OF AMERICA SECURITIES LLC
April 6, 2005 - August 17, 2005
INTESA SANPAOLO IMI SECURITIES CORP.
August 26, 2003 - March 19, 2004
LAZARD FRERES & CO. LLC
May 10, 2001 - March 19, 2003
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 8, 1999 - June 22, 2000
CIBC WORLD MARKETS CORP.
July 22, 1999 - December 2, 1999
HARRISDIRECT LLC
April 16, 1999 - June 21, 1999
CITIGROUP GLOBAL MARKETS 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
Current Firm
ALLY SECURITIES LLC
CRD#: 25988 / SEC#: , 8-42417
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLY FINANCIAL INC. | PARENT | |
| BEATON, DANIEL STEWART | CHIEF FINANCIAL OFFICER | 4240769 |
| HALSEY, KURT STUART | PRESIDENT/CEO/COO | 4282242 |
| HOLLAND, DAVID | MEMBER OF BOARD OF DIRECTORS | 6392922 |
| RHODES, DEBORAH LAURA | GENERAL COUNSEL/ASSISTANT SECRETARY | 6392194 |
| SYKES, ROBERT CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2775993 |
| TIMMERMAN, DOUGLAS RICHARD | MEMBER OF BOARD OF DIRECTORS | 6427349 |
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.
