Keith Craig Baron
Professional Summary
Keith Craig Baron was a registered financial advisor. Keith was a previously registered financial professional and started their career in finance 1999 - 2022. Keith had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
27 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.
Contact Information
Main Address
One National Life Drive, Montpelier, VT 05604Mailing Address
One National Life Drive, Montpelier, VT 05604Phone Number
(800) 344-7437Established
Vermont since 10/07/1968Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
500SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | — |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DAVID, ALEX MARCUS | PRESIDENT & CEO | 2421489 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FOX, CARRIE ANN | VP, FINOP | 5715395 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| NELSON, BRIAN WILBUR | VP, BUSINESS DEVELOPMENT | 3082595 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| PARRISH, SPENCER TODD | VP, PRINCIPAL FINANCIAL OFFICER AND TREASURER | 4125651 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory Assets Under Management
Total Number of Accounts
12,379AUM (Assets Under Management)
$2,777,353,969Disclosures
Regulatory Event
8Arbitration
2Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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