Matthew F. Keller
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.
Matthew Francis Keller was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2006. Matthew had worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 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
April 13, 2017 - December 1, 2021
COKER & PALMER
January 6, 2017 - April 13, 2017
NEWBRIDGE SECURITIES CORPORATION
April 9, 2009 - December 14, 2016
LEGEND SECURITIES, INC.
November 28, 2008 - April 3, 2009
RUSHMORE CAPITAL, INC.
April 6, 2006 - December 10, 2008
GUNNALLEN FINANCIAL, INC
Primary Firm SEC Registration
COKER & PALMER
CRD#: 29163 / SEC#: 801-77645, 8-44129
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
COKER & PALMER
CRD#: 29163 / SEC#: 801-77645, 8-44129
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 244,065,071 |
Disclosures
| Regulatory Event | 7 |
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.
