Daniel O. 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.
Daniel O'bryan Keating was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2010. Daniel had worked at 4 firms and has passed the Series 65, Series 63, 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 29, 2015 - December 6, 2016
SPARI, INC.
January 11, 2013 - December 6, 2016
KEATING FINANCIAL ADVISORY SERVICES
September 13, 2012 - November 15, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 23, 2010 - November 15, 2016
RAYMOND JAMES FINANCIAL SERVICES, 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
SPARI, INC.
CRD#: 226780 / SEC#: 801-100410
Contact information
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.
