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KC

Keith J. Collazo

TOCQUEVILLE SECURITIES L.P.
Vero Beach, FL 32963
Some features on this profile are disabled
CRD#: 4540882
KC

Professional summary

Keith Jason Collazo is a registered financial professional currently at TOCQUEVILLE SECURITIES L.P. located in Vero Beach, Florida.

Keith is registered as a RR (Registered Representative) and started their career in finance in 2002. Keith has worked at 2 firms and has passed the Series 66, Series 52TO, Series 57TO, SIE, Series 7 and Series 55 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Keith Jason Collazo'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

August 1, 2008 - Present

TOCQUEVILLE SECURITIES L.P.

Office #1: 2911 Cardinal Drive, Vero Beach, FL 32963Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019
BD
CRD#: 26001
Vero Beach, FL
Past

July 2, 2002 - December 31, 2002

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/29/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 5/12/2008
Limited Representative-Equity Trader Exam
SRO Registrations
RR
FINRA

Current Firm

TS
TOCQUEVILLE SECURITIES L.P.
LEPERCQ, DE NEUFLIZE/TOCQUEVILLE SECURITIES, L.P. | TOCQUEVILLE SECURITIES L.P.

CRD#: 26001 / SEC#: , 8-42223

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

Main Address
40 West 57th Street 19th Floor, New York, NY, 10019
Mailing Address
40 West 57th Street 19th Floor, New York, NY, 10019
Phone number
(212) 698-0800
Established
Delaware since 01/04/1990
Firm type
Partnership
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#
TOCQUEVILLE ASSET MANAGEMENT L.P.LIMITED PARTNER
CHUN, YUEN NAFINOP2219603
GRAHAM, KELSEY DUBOIS IIICHIEF COMPLIANCE OFFICER5976494
KLEINSCHMIDT, ROBERT WILLIAMCEO & GSP855215
SCHLESINGER, SCOTT IRAPRESIDENT, CHIEF OPERATING OFFICER & GSP1252675
TOCQUEVILLE MANAGEMENT CORPORATIONGENERAL PARTNER

Disclosures

Regulatory Event4

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

TOCQUEVILLE SECURITIES L.P.

CRD#: 26001Vero Beach, FL 32963

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