Corey E. Keating
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.
Corey Elliott Keating, who also goes by Corey Eliot Keating, was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 2007. Corey had worked at 4 firms and has passed the Series 63, SIE 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
January 5, 2015 - October 15, 2019
TRIVE NEW YORK LLC
December 3, 2012 - December 2, 2014
HARTFORD FUNDS DISTRIBUTORS, LLC
June 3, 2011 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 18, 2010 - June 13, 2011
JANNEY MONTGOMERY SCOTT LLC
June 28, 2007 - September 18, 2009
GLOBAL ATLANTIC 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
TRIVE NEW YORK LLC
CRD#: 21946 / SEC#: , 8-39420
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
