Laurence L. Keough
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.
Laurence Leo Keough III, CFP®, who also goes by Le Keough, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 2000. Laurence had worked at 10 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
February 26, 2021 - October 11, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
February 26, 2021 - October 11, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
June 12, 2014 - March 8, 2021
RAYMOND JAMES & ASSOCIATES, INC.
June 11, 2014 - March 8, 2021
RAYMOND JAMES & ASSOCIATES, INC.
October 5, 2011 - June 6, 2014
INVESTACORP ADVISORY SERVICES INC
April 28, 2011 - June 6, 2014
INVESTACORP, INC.
May 28, 2009 - May 16, 2011
FROST INVESTMENT ADVISORS, LLC
February 20, 2008 - June 16, 2008
FROST INVESTMENT ADVISORS, LLC
November 15, 2005 - May 11, 2009
FROST BROKERAGE SERVICES, INC.
April 30, 2004 - October 17, 2005
TEXAS INSTITUTIONAL INVESTMENT MANAGEMENT, LLC
June 5, 2003 - February 27, 2004
VAQUERO INVESTMENT MANAGEMENT COMPANY, INC.
April 3, 2003 - February 27, 2004
SOUTHWESTERN CAPITAL MARKETS, INC.
March 31, 2000 - June 4, 2001
HOAK BREEDLOVE WESNESKI & CO.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
