Kent D. Keister
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.
Kent Dillon Keister, who also goes by Kent D. Keister, was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 2003. Kent had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2018 - September 28, 2020
BUDROS, RUHLIN & ROE
May 11, 2010 - April 25, 2018
LPL FINANCIAL LLC
May 7, 2010 - April 25, 2018
LPL FINANCIAL LLC
June 17, 2009 - April 19, 2010
PRUCO SECURITIES, LLC.
October 17, 2006 - June 4, 2009
LPL FINANCIAL LLC
October 16, 2006 - June 4, 2009
LPL FINANCIAL LLC
July 1, 2006 - October 12, 2006
J.P. MORGAN SECURITIES INC.
June 28, 2006 - October 12, 2006
CHASE INVESTMENT SERVICES CORP.
May 4, 2006 - July 1, 2006
BANC ONE SECURITIES CORPORATION
March 3, 2006 - May 1, 2006
BANC ONE SECURITIES CORPORATION
July 6, 2005 - October 12, 2006
CHASE INVESTMENT SERVICES CORP.
October 15, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
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
Current Firm
BUDROS, RUHLIN & ROE
CRD#: 106536 / SEC#: 801-32884
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,536 |
| AUM (Assets Under Management) | $ 3,399,072,487 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/03/2022 | ||
| 01/28/2022 |
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.
