Keith M. Gliner

WATER DOG ASSET MANAGEMENT LLC

Buffalo, WY

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CRD#: 6576376

Professional summary

Keith Michael Gliner is a registered financial advisor currently at WATER DOG ASSET MANAGEMENT LLC located in Buffalo, Wyoming.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Keith has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Michael Gliner'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®

None

Experience

Current

August 1, 2018 - Present

WATER DOG ASSET MANAGEMENT LLC

RIA

CRD#: 281720

Buffalo, WY

Past

January 15, 2016 - June 28, 2017

WATER DOG ASSET MANAGEMENT LLC

RIA

CRD#: 281720

BUFFALO, WY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(8/1/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/1/2015

Uniform Investment Adviser Law Examination

Current Firm

WATER DOG ASSET MANAGEMENT LLC

GLINER, KEITH MICHAEL | WATER DOG ASSET MANAGEMENT LLC

CRD#: 281720 / SEC#: 801-110420

RIA

Registered Investment Advisory firm - (3/19/2020 Terminated)

Colorado

Registered Investment Advisory firm - (8/1/2018 Approved)

Nevada

Registered Investment Advisory firm - (6/28/2017 Terminated)

Wyoming

Registered Investment Advisory firm - (6/15/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Buffalo, WY

Mailing Address

Phone number

(303) 521-1562

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 4,700,000

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.

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Keith M. Gliner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Michael Gliner's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATER DOG ASSET MANAGEMENT LLC

WATER DOG ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2015

Current Firm

WATER DOG ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WATER DOG ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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