Kenneth B. 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.
Kenneth Brian Keating, CFP®, who also goes by Ken Keating, Kenneth Keating, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2009. Kenneth had worked at 5 firms and has passed the Series 66, Series 63, 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
Start date: 2016
Experience
July 13, 2018 - September 9, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 4, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
July 10, 2015 - September 9, 2024
FIDELITY BROKERAGE SERVICES LLC
December 23, 2011 - June 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2011 - June 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 2009 - November 30, 2011
SUNGARD INSTITUTIONAL BROKERAGE INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
