Keith E. Pettus

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CRD#: 4618698

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 Edward Pettus, who also goes by Keith Pettus, was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 2003. Keith had worked at 7 firms and has passed the Series 66, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith Pettus

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 9, 2013 - August 29, 2018

FINANCIAL WEST GROUP

CRD#: 16668

SAN FRANCISCO, CA

Past

November 24, 2010 - July 26, 2013

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

CRD#: 153322

NEW YORK, NY

Past

June 17, 2009 - May 14, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

SAN FRANCISCO, CA

Past

December 12, 2005 - February 27, 2008

CION SECURITIES, LLC

CRD#: 15487

SAN FRANCISCO, CA

Past

June 13, 2005 - July 22, 2005

PIPER SANDLER & CO.

RIA

CRD#: 665

MENLO PARK, CA

Past

June 13, 2005 - July 22, 2005

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

March 31, 2003 - September 3, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN FRANCISCO, CA

Past

March 14, 2003 - September 3, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 14, 2003 - September 3, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

IAR

Series 66

Date: 3/28/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/25/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/12/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/14/2007

General Securities Principal Examination

Current Firm

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP | TORREYA CAPITAL, A DIVISION OF FINANCIAL WEST GROUP | REEDLAND CAPITAL PARTNERS, AN INSTITUTIONAL DIVISION OF FWG | PACIFIC ASSET GROUP, INC. | GELLER BIOPHARM - A HEALTH CARE INVESTMENT BANKING DIVISION FWG | FINANCIAL WEST INVESTMENT GROUP, INC. DBA FINANCIAL WEST GROUP | FINANCIAL WEST INVESTMENT GROUP, INC.

CRD#: 16668 / SEC#: 801-57393, 8-34448

Cancelled by SEC on 09/28/2023

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Contact information

Main Address

1330 Lander St., Reno, NV 89509

Mailing Address

Phone number

Established

California since 05/22/1985

Firm type

Corporation

Fiscal year end

September

# of Employees

FINRA licenses (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
PARADOX HOLDING, INC. A NEVADA CORPORATION	SHAREHOLDER
DOYLE, JACOB MICHAEL	VICE PRESIDENT	6014279
HODGES, AL CLIFTON	BOARD MEMBER	6594701
VALENTINE, GENE CHARLES	CHIEF COMPLIANCE OFFICER	1079871
VALENTINE, GENE CHARLES	CHAIRMAN/CEO/PRESIDENT	1079871

Disclosures

Regulatory Event	73
Arbitration	7

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.

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Firm Stability Insights

Keith E. Pettus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

CION SECURITIES, LLC

PIPER SANDLER & CO.

PIPER SANDLER & CO.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/28/2003

SIE

Date: 8/29/2018

Series 55

Date: 11/25/2009

Series 7

Date: 3/12/2003

Series 24

Date: 5/14/2007

Current Firm

FINANCIAL WEST GROUP

Contact information

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FINANCIAL WEST GROUP

TRUST BUT VERIFY

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