Keith Stock
Professional summary
Keith Stock is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Stock's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2015 - Present
STOCK SECURITIES LLC
Office #1: 201 Tresser Boulevard Suite 345, Stamford, CT 06901-3435Office #2: 15 Chambers Street, Princeton, NJ 08542December 18, 2012 - August 5, 2015
COHEN & COMPANY SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
STOCK SECURITIES LLC
CRD#: 32244 / SEC#: , 8-45650
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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