VK
Vincent M. Keating
CNL SECURITIES
Orlando, FL 32801
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CRD#: 6511642
VK
Professional summary
Vincent Michael Keating, who also goes by VIncent Keating, is a registered financial professional currently at CNL SECURITIES CORP. located in Orlando, Florida.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 2016. Vincent has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vincent Keating
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Vincent Michael Keating's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 19, 2016 - Present
CNL SECURITIES CORP.
Office #1: 450 South Orange Avenue, Orlando, FL 32801BD
CRD#: 10356
Orlando, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/2/2019)
RR
Arkansas(10/2/2019)
RR
Connecticut(3/20/2018)
RR
Delaware(10/2/2019)
RR
District of Columbia(10/2/2019)
RR
Florida(4/4/2016)
RR
Georgia(10/2/2019)
RR
Illinois(7/31/2018)
RR
Indiana(10/2/2019)
RR
Iowa(7/31/2018)
RR
Kansas(7/31/2018)
RR
Kentucky(10/2/2019)
RR
Maine(3/20/2018)
RR
Maryland(10/2/2019)
RR
Massachusetts(3/20/2018)
RR
Michigan(10/2/2019)
RR
Minnesota(7/31/2018)
RR
Mississippi(10/2/2019)
RR
Missouri(7/31/2018)
RR
Nebraska(7/31/2018)
RR
New Hampshire(4/4/2016)
RR
New Jersey(4/4/2016)
RR
New York(4/5/2016)
RR
North Carolina(10/2/2019)
RR
North Dakota(7/31/2018)
RR
Ohio(10/2/2019)
RR
Pennsylvania(10/2/2019)
RR
Puerto Rico(10/2/2019)
RR
Rhode Island(3/26/2018)
RR
South Carolina(10/2/2019)
RR
South Dakota(7/31/2018)
RR
Tennessee(10/2/2019)
RR
Vermont(3/20/2018)
RR
Virgin Islands(1/12/2023)
RR
Virginia(10/2/2019)
RR
West Virginia(10/2/2019)
RR
Wisconsin(7/31/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CNL SECURITIES CORP.
CENTENNIAL INVESTMENT COMPANY | CNL SECURITIES CORP. | CNL INVESTMENT COMPANY | CNL
CRD#: 10356 / SEC#: , 8-26901
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
450 South Orange Avenue Suite 1300, Orlando, FL 32801
Mailing Address
P.o Box 4920, Orlando, FL 32802-4920
Phone number
(407) 650-1000
Established
Florida since 11/13/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CNL FINANCIAL GROUP, INC. | PARENT COMPANY OF CNL SECURITIES CORP. | |
| BOYCE, KATHLEEN ANNE | CHIEF COMPLIANCE OFFICER | 3086688 |
| HELMS, BRACKSTON EDWARD | CO-PRESIDENT | 2730942 |
| MUJA, GZIM | CO-PRESIDENT | 2916434 |
| MUJA, GZIM | NATIONAL SALES DIRECTOR | 2916434 |
| TURNER, TRACY JEANNE | CHIEF FINANCIAL OFFICER, FINOP & TREASURER | 6122300 |
Disclosures
| Regulatory 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.
