Keith Richardson
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.
Keith Richardson was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2018. Keith 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
June 23, 2021 - October 20, 2022
FORGE SECURITIES LLC
August 31, 2020 - September 28, 2021
FORGE MARKETS LLC
October 13, 2018 - March 30, 2020
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FORGE SECURITIES LLC
CRD#: 134596 / SEC#: , 8-66846
Contact information
FINRA licenses (53 States and Territories)
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.
