Keith A. Clotiaux
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 Ann Clotiaux was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2012. Keith had worked at 3 firms and has passed the Series 66, 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
December 9, 2015 - January 17, 2019
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
January 5, 2015 - February 17, 2015
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
February 3, 2014 - November 30, 2015
MODERN CAPITAL SECURITIES INC.
February 3, 2014 - November 30, 2015
MODERN CAPITAL SECURITIES INC.
March 4, 2013 - March 28, 2013
EDWARD JONES
December 20, 2012 - March 28, 2013
EDWARD JONES
Primary Firm SEC Registration
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
CRD#: 109036 / SEC#: 801-56587
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
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
CRD#: 109036 / SEC#: 801-56587
Contact information
SEC notice filing (26 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,298 |
| AUM (Assets Under Management) | $ 956,132,091 |
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.
