Jonathan B. Keane
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.
Jonathan Bard Keane was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2011. Jonathan had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2015 - June 29, 2017
FISHER INVESTMENTS
January 13, 2015 - February 25, 2015
ICONIQ CAPITAL, LLC
August 2, 2013 - November 25, 2014
FISHER INVESTMENTS
December 7, 2011 - May 17, 2013
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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