Gregory Keefer
Professional summary
Gregory Keefer, who also goes by Greg Hugh Keefer, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 2000. Gregory has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Keefer's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2023 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 250 West 34th Street 3rd Floor, New York, NY 10119January 12, 2022 - September 5, 2023
JANNEY MONTGOMERY SCOTT LLC
January 12, 2022 - September 5, 2023
JANNEY MONTGOMERY SCOTT LLC
October 23, 2008 - September 20, 2021
FIRST TRUST ADVISORS LP
April 2, 2008 - September 20, 2021
FIRST TRUST PORTFOLIOS L.P.
February 13, 2007 - March 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2005 - September 8, 2006
GUGGENHEIM DISTRIBUTORS, LLC
January 12, 2004 - September 14, 2005
CAPITAL BROKERAGE CORPORATION
November 25, 2002 - July 3, 2003
NELSON SECURITIES,INC.
September 5, 2002 - July 3, 2003
NELSON SECURITIES,INC.
September 21, 2001 - December 19, 2001
SYNERGY INVESTMENT GROUP, LLC
October 31, 2000 - September 26, 2001
ALL-TECH DIRECT, INC.
October 13, 2000 - October 18, 2000
NEOVEST TRADING
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 55
Date: 4/9/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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