Brian D. Keane
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.
Brian Douglas Keane was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2014 - February 4, 2015
MERRIMAN CAPITAL, INC.
February 21, 2013 - November 19, 2013
SOURCE CAPITAL GROUP, INC.
May 19, 2009 - February 23, 2011
BRISTOL INVESTMENT GROUP, INC.
September 19, 2008 - April 13, 2009
BRITEHORN SECURITIES
August 4, 2008 - September 2, 2008
SPENCER CLARKE LLC
June 19, 2002 - November 6, 2002
RODMAN & RENSHAW, LLC
March 26, 2002 - June 4, 2002
LADENBURG THALMANN & CO. INC.
October 18, 2001 - November 16, 2001
ICAP/INVESTMENT SERVICES AND TRADING, LLC
November 14, 2000 - July 31, 2001
DEUTSCHE IXE, LLC
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
Series 55
Date: 12/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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