Keir K. Richter
Professional summary
Keir Kenneth Richter, who also goes by Keir K Richter, Keir Richter, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Keir is registered as a RR (Registered Representative) and started their career in finance in 2006. Keir has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keir Kenneth Richter's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 23, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262August 31, 2023 - November 21, 2024
ASCENSUS BROKER DEALER SERVICES, LLC
August 10, 2020 - August 31, 2023
NEWPORT GROUP SECURITIES, INC.
April 11, 2014 - January 8, 2020
MML DISTRIBUTORS, LLC
March 13, 2013 - April 3, 2014
FSC SECURITIES CORPORATION
February 1, 2011 - December 17, 2012
LINCOLN INVESTMENT
November 23, 2010 - December 17, 2012
LINCOLN INVESTMENT
April 19, 2007 - January 13, 2010
ADP BROKER-DEALER, INC.
March 5, 2007 - April 17, 2007
T. ROWE PRICE ADVISORY SERVICES, INC.
May 15, 2006 - April 17, 2007
T. ROWE PRICE INVESTMENT 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
(12/23/2024)
(1/6/2025)
(1/6/2025)
(1/6/2025)
(1/6/2025)
Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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