Marta I. Keiser
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.
Marta Irena Keiser, who also goes by Marta I Brzozka, Marta Irena Brzozka, Marta I Keiser, was a registered financial professional .
Marta is a previously registered financial professional and started their career in finance in 2005. Marta had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2011 - September 2, 2020
QUEENS ROAD SECURITIES, LLC
April 27, 2010 - March 21, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
August 4, 2005 - March 24, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
July 14, 2005 - August 4, 2005
FORESIDE FUNDS DISTRIBUTORS LLC
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
QUEENS ROAD SECURITIES, LLC
CRD#: 104277 / SEC#: , 8-52737
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANNON, DAWN MARIE | CHIEF COMPLIANCE OFFICER, FINOP | 4633109 |
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.
