Keith J. Gilmour
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 J Gilmour, who also goes by Keith J. Gilmour, Keith Joseph Gilmour, Keith Gilmour, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2007. Keith had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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
April 21, 2023 - February 10, 2024
J.P. MORGAN SECURITIES LLC
April 21, 2023 - February 10, 2024
J.P. MORGAN SECURITIES LLC
November 25, 2022 - December 8, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 11, 2022 - December 7, 2022
FIDELITY BROKERAGE SERVICES LLC
June 11, 2021 - August 18, 2021
WELLS FARGO CLEARING SERVICES, LLC
June 11, 2021 - August 18, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 15, 2017 - June 22, 2020
LPL FINANCIAL LLC
November 15, 2017 - June 22, 2020
LPL FINANCIAL LLC
April 4, 2016 - November 16, 2017
INVEST FINANCIAL CORPORATION
March 31, 2016 - November 16, 2017
INVEST FINANCIAL CORPORATION
March 11, 2016 - March 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2016 - March 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2015 - February 9, 2016
PNC WEALTH MANAGEMENT LLC
March 2, 2015 - February 9, 2016
PNC WEALTH MANAGEMENT LLC
April 3, 2009 - September 18, 2014
SCOTTRADE, INC.
August 22, 2007 - November 18, 2008
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
