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AK

Amy E. Keohane

FUNDS DISTRIBUTOR
Saugus, MA
Some features on this profile are disabled
CRD#: 4455423
AK

Professional summary

Amy Ellen Keohane, who also goes by Amy Ellen Galasso, is a registered financial professional currently at FUNDS DISTRIBUTOR, LLC located in Saugus, Massachusetts.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2001. Amy has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Ellen Galasso

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amy Ellen Keohane's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 2, 2015 - Present

FUNDS DISTRIBUTOR, LLC

Office #2: 53 State Street 33rd Floor, Boston, MA 02109
BD
CRD#: 7174
Saugus, MA
Past

April 24, 2006 - November 2, 2015

BARINGS SECURITIES LLC

BD
CRD#: 36929
CHARLOTTE, NC
Past

November 5, 2001 - September 14, 2005

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(10/9/2020)
RR
Alaska
(10/9/2020)
RR
Arizona
(10/9/2020)
RR
Arkansas
(10/9/2020)
RR
California
(10/9/2020)
RR
Colorado
(10/9/2020)
RR
Connecticut
(10/9/2020)
RR
Delaware
(10/9/2020)
RR
District of Columbia
(10/9/2020)
RR
Florida
(10/9/2020)
RR
Georgia
(10/9/2020)
RR
Hawaii
(10/9/2020)
RR
Idaho
(10/9/2020)
RR
Illinois
(10/9/2020)
RR
Indiana
(10/9/2020)
RR
Iowa
(10/9/2020)
RR
Kansas
(10/9/2020)
RR
Kentucky
(10/9/2020)
RR
Louisiana
(10/9/2020)
RR
Maine
(10/9/2020)
RR
Maryland
(10/9/2020)
RR
Massachusetts
(11/2/2015)
RR
Michigan
(10/9/2020)
RR
Minnesota
(10/9/2020)
RR
Mississippi
(10/9/2020)
RR
Missouri
(10/9/2020)
RR
Montana
(10/9/2020)
RR
Nebraska
(10/9/2020)
RR
Nevada
(10/9/2020)
RR
New Hampshire
(10/9/2020)
RR
New Jersey
(10/9/2020)
RR
New Mexico
(10/9/2020)
RR
New York
(10/9/2020)
RR
North Carolina
(10/9/2020)
RR
North Dakota
(10/9/2020)
RR
Ohio
(10/9/2020)
RR
Oklahoma
(10/9/2020)
RR
Oregon
(10/9/2020)
RR
Pennsylvania
(10/9/2020)
RR
Puerto Rico
(10/9/2020)
RR
Rhode Island
(10/9/2020)
RR
South Carolina
(10/9/2020)
RR
South Dakota
(10/9/2020)
RR
Tennessee
(10/9/2020)
RR
Texas
(10/9/2020)
RR
Utah
(10/9/2020)
RR
Vermont
(10/9/2020)
RR
Virginia
(10/9/2020)
RR
Washington
(10/9/2020)
RR
West Virginia
(10/9/2020)
RR
Wisconsin
(10/9/2020)
RR
Wyoming
(10/9/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/3/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FUNDS DISTRIBUTOR, LLC
FUNDS DISTRIBUTOR, INC. | THE BOSTON COMPANY CAPITAL GROUP, INC. | TBC FUNDS DISTRIBUTOR, INC. | FUNDS DISTRIBUTOR, LLC

CRD#: 7174 / SEC#: , 8-20518

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/01/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

Disclosures

Regulatory Event2

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.

Company Information

FUNDS DISTRIBUTOR, LLC

CRD#: 7174Saugus, MA

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