Keith A. Mcilwaine
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 Alexander Mcilwaine, who also goes by Keith Alexander Mcilaine, Keith A Mcilwaine, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2005. Keith had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2009 - February 2, 2015
FIRST CLEARING, LLC
December 13, 2006 - December 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 23, 2005 - July 27, 2006
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 11, 2005 - May 3, 2005
MISSIONSQUARE INVESTMENT SERVICES
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
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
