Keith M. Pendergrast
Professional summary
Keith Mccauley Pendergrast is a registered financial advisor currently at KEEL POINT, LLC located in Huntsville, Alabama and KEEL POINT CAPITAL, LLC located in Huntsville, Alabama.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Keith has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 57 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Keith Mccauley Pendergrast's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2017 - Present
KEEL POINT, LLC
Office #1: 100 Church Street Suite 500, Huntsville, AL 35801March 23, 2017 - Present
KEEL POINT CAPITAL, LLC
Office #1: 100 Church Street Suite 500, Huntsville, AL 35801Office #2: 100 Church Street Suite 500, Huntsville, AL 35801January 27, 2003 - June 30, 2004
PARAGON ADVISING GROUP, L.P.
Primary Firm SEC Registration
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/15/2017)
(9/29/2017)
Exams
Series 62
Date: 1/24/2003
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
Red Flags
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Company Information
KEEL POINT, LLC
CRD#: 127902Huntsville, AL 35801TRUST BUT VERIFY
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