Keith Cawley
Professional Summary
Keith Cawley, who also goes by Keith Warren Cawley, is a registered financial advisor currently at FNEX CAPITAL, LLC located in Torrence, California. Keith is registered as a RR (Registered Representative) and started their career in finance in 2014. Keith has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Keith Warren Cawley
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Videos & Posts
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Contact Information
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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
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC
Contact Information
Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204Phone Number
(317) 580-2588Established
Indiana since 06/04/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2014About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Keith Cawley's CRS (Customer Relationship Summary).
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