Sara T. Keith
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.
Sara Theresa Keith was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2014. Sara had worked at 3 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 52TO, SIE, Series 55, Series 52 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
April 28, 2023 - December 12, 2023
MARKETAXESS CORPORATION
March 2, 2018 - September 27, 2021
MORGAN STANLEY
September 8, 2016 - March 2, 2018
MORGAN STANLEY & CO. LLC
July 25, 2014 - December 18, 2017
MORGAN STANLEY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 12/2/2022
General Securities Representative ExaminationSeries 52TO
Date: 12/2/2022
Municipal Securities Representative ExaminationSeries 55
Date: 12/9/2015
Limited Representative-Equity Trader ExamCurrent Firm
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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