Keith S. Harwood
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 Steven Harwood was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2011. Keith had worked at 2 firms and has passed the Series 56 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2013 - June 27, 2013
IMM EXECUTION SERVICES LLC
September 14, 2011 - February 25, 2013
NICO SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Series 56
Date: 9/20/2011
Proprietary Trader Qualification ExaminationCurrent Firm
IMM EXECUTION SERVICES LLC
CRD#: 159234 / SEC#: , 8-68970
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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