Marnie J. Keller
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.
Marnie Joan Keller, who also goes by Margaret Joan Boyd, Marnie Joan Boyd, Margaret Joan Keller, Marnie J Keller, Margaret Joan Ruane, Marnie Joan Ruane, was a registered financial professional .
Marnie is a previously registered financial professional and started their career in finance in 2004. Marnie had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
March 10, 2016 - June 7, 2017
FINANCIAL WEST GROUP
February 25, 2016 - June 7, 2017
FINANCIAL WEST GROUP
June 19, 2013 - March 25, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 18, 2013 - March 25, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 19, 2010 - June 18, 2013
CENTAURUS FINANCIAL, INC.
January 6, 2010 - June 18, 2013
CENTAURUS FINANCIAL, INC.
September 23, 2009 - January 6, 2010
STERLING ENTERPRISES GROUP, INC.
July 18, 2006 - September 28, 2009
QA3 FINANCIAL CORP.
January 8, 2004 - July 18, 2006
UVEST FINANCIAL SERVICES GROUP, 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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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