Keith W. Krueger
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 William Krueger was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1980. Keith had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2020 - November 1, 2022
PATRICK CAPITAL MARKETS, LLC
December 22, 2017 - July 30, 2018
LABRUNERIE FINANCIAL SERVICES, INC.
October 16, 2017 - December 1, 2021
SOWELL MANAGEMENT
March 30, 2016 - May 1, 2017
INTERNATIONAL ASSETS ADVISORY, LLC
January 4, 2016 - September 26, 2016
CONCERT WEALTH MANAGEMENT
March 26, 2015 - March 17, 2016
TOBIN & COMPANY SECURITIES LLC
December 16, 2013 - March 23, 2016
CONCORDIUS CAPITAL ADVISORS
June 14, 2012 - March 16, 2015
STILLPOINT CAPITAL, LLC
September 27, 2011 - June 15, 2012
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
August 16, 2011 - June 15, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
February 24, 2011 - August 18, 2011
ARIA CAPITAL ADVISORS, LLC
February 18, 2011 - February 24, 2011
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
November 10, 2010 - February 23, 2011
INTERNATIONAL ASSETS ADVISORY, LLC
June 21, 2010 - November 9, 2010
COMMERCE WEALTH ADVISERS, LLC
April 22, 2010 - November 9, 2010
DEWAAY FINANCIAL NETWORK, LLC
January 6, 2010 - January 21, 2010
ROBERT W. BAIRD & CO. INCORPORATED
November 15, 2006 - January 21, 2010
ROBERT W. BAIRD & CO. INCORPORATED
September 13, 2006 - November 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 1996 - January 10, 2006
STEPHENS
March 30, 1993 - June 6, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 12, 1991 - April 12, 1993
UBS FINANCIAL SERVICES INC.
January 15, 1991 - June 24, 1991
SHAY FINANCIAL SERVICES CO.
January 19, 1980 - April 15, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 5
Date: 10/23/1981
Interest Rate Options ExaminationSeries 8
Date: 8/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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