Keith J. Grover
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 James Grover, who also goes by Keith Grover, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2003. Keith had worked at 6 firms and has passed the Series 66, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2011 - October 21, 2016
CASCO BAY CAPITAL PARTNERS
May 29, 2008 - April 2, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
May 28, 2008 - April 2, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
January 24, 2007 - March 31, 2008
NEW ENGLAND SECURITIES
December 7, 2006 - March 31, 2008
NEW ENGLAND SECURITIES
February 9, 2006 - December 14, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 1, 2005 - January 31, 2006
OSAIC FS, INC.
September 2, 2004 - January 31, 2006
OSAIC FS, INC.
November 18, 2003 - August 31, 2004
METROPOLITAN LIFE INSURANCE COMPANY
November 18, 2003 - August 31, 2004
MSI FINANCIAL SERVICES, INC.
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
CASCO BAY CAPITAL PARTNERS
CRD#: 155374 / SEC#:
Contact information
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.
