Keith W. Marshall
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 Wesley Marshall was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2001. Keith had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2014 - September 4, 2015
DRIVEWEALTH INSTITUTIONAL LLC
May 8, 2012 - August 29, 2014
HOULIHAN LOKEY ADVISORS, LLC
February 15, 2011 - February 22, 2012
DC ADVISORY
May 7, 2009 - November 2, 2012
MONTGOMERY, MARSHALL HEALTHCARE PARTNERS,LLC
January 14, 2009 - December 31, 2010
MCKIM CAPITAL, INC.
May 22, 2003 - May 26, 2009
MONTGOMERY & CO., LLC
October 18, 2001 - May 19, 2003
J.P. MORGAN SECURITIES 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
Series 28
Date: 12/23/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DRIVEWEALTH INSTITUTIONAL LLC
CRD#: 33038 / SEC#: , 8-31461
Contact information
FINRA licenses (32 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | CHIEF OPERATING OFFICER | 2262100 |
| MADARASZ, RONALD JOHN | SENIOR MANAGER, INSTITUTIONAL SALES & TRADING | 1769473 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
| TZANETEAS, ALEC MICHAEL | CHIEF COMPLIANCE OFFICER | 6983736 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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