Keith R. Alm
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 Ronald Alm, who also goes by Keith Alm, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2005. Keith had worked at 4 firms and has passed the Series 66, Series 31 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
February 19, 2015 - September 9, 2015
BEACON POINTE ADVISORS, LLC
July 20, 2011 - March 30, 2015
ALBERT HEEG INVESTMENT MANAGEMENT
May 8, 2006 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 2006 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2005 - May 1, 2006
MORGAN STANLEY DW INC.
September 8, 2005 - May 1, 2006
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
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
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54,870 |
| AUM (Assets Under Management) | $ 39,839,757,384 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 12/26/2024 | ||
| 11/28/2023 |
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.
