Keith A. Simpson
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 Allen Simpson, who also goes by Keith Simpson, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2000. Keith had worked at 7 firms and has passed the Series 66, Series 63 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
August 3, 2015 - December 31, 2022
LAKE ADVISORY GROUP
February 2, 2010 - September 3, 2015
LAKE ADVISORY GROUP, INC.
January 9, 2006 - November 2, 2009
MSI FINANCIAL SERVICES, INC.
December 19, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 19, 2005 - November 2, 2009
MSI FINANCIAL SERVICES, INC.
February 25, 2004 - September 1, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2004 - September 1, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 2002 - March 11, 2004
UBS FINANCIAL SERVICES INC.
May 16, 2002 - March 11, 2004
UBS FINANCIAL SERVICES INC.
March 23, 2000 - April 29, 2002
CHARLES SCHWAB & CO., 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
LAKE ADVISORY GROUP
CRD#: 268824 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 265 |
| AUM (Assets Under Management) | $ 41,487,138 |
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.
