Keith Mclean
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 Mclean, CFP®, who also goes by Keith Joseph Mclean, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2007. Keith had worked at 3 firms and has passed the Series 66, SIE 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
June 28, 2012 - March 7, 2018
SHAFFER CAPITAL
February 20, 2012 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 2, 2007 - July 30, 2007
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
SHAFFER CAPITAL
CRD#: 150106 / SEC#: 801-119045
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
SHAFFER CAPITAL
CRD#: 150106 / SEC#: 801-119045
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 439 |
| AUM (Assets Under Management) | $ 173,807,306 |
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.
