Keith Stock
Professional Summary
Keith Stock is a registered financial advisor currently at STOCK SECURITIES LLC located in Stamford, Connecticut. Keith is registered as a RR (Registered Representative) and started their career in finance in 2012. Keith has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 82, Series 79 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
STOCK SECURITIES LLC | SWORD SECURITIES LLC | SWORD SECURITIES CORPORATION
Contact Information
Main Address
201 Tresser Boulevard Suite 345, Stamford, CT 06901-3435Mailing Address
886 Patterson Avenue, New York, NY 10306Phone Number
(203) 595-4546Established
Delaware since 07/31/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (17 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/11/2022)
(8/31/2015)
(12/13/2021)
(8/31/2015)
(8/31/2015)
(8/31/2015)
(3/6/2024)
(8/31/2015)
(8/13/2024)
(8/31/2015)
(5/20/2024)
(8/31/2015)
(5/4/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82 — Limited Representative-Private Securities Offerings
Passed Apr 2018About the Series 82 examSeries 79 — Investment Banking Registered Representative Examination
Passed Dec 2012About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Keith Stock's CRS (Customer Relationship Summary).
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