Colin J. Keegan
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.
Colin John Keegan, who also goes by Colin Keegan, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 2014. Colin had worked at 3 firms and has passed the Series 63, 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
May 19, 2016 - July 27, 2017
CAREY FINANCIAL, LLC
January 20, 2015 - April 12, 2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 5, 2014 - December 23, 2014
EQUITABLE ADVISORS, 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
Exams
Current Firm
CAREY FINANCIAL, LLC
CRD#: 15246 / SEC#: , 8-31901
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
