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Virgil Daniel Keeley

CRD# 707598·Registered 1986 - 2013
Previously Registered: Being a previously registered professional could mean that Virgil 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.

Professional Summary

Virgil Daniel Keeley, who also goes by Dan Keeley, was a registered financial advisor. Virgil was a previously registered financial professional and started their career in finance 1986 - 2013. Virgil had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 3 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dan Keeley

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

NMS CAPITAL SECURITIES, LLC·CRD# 107401
BD
Beverly Hills, CA
January 20, 2012 - January 2, 2013
FOX FINANCIAL MANAGEMENT CORPORATION·CRD# 134277
BD
Carrollton, TX
October 7, 2008 - January 3, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC·CRD# 108728
RIA
Little Rock, AR
May 10, 2007 - October 16, 2008
PACIFIC WEST SECURITIES, INC.·CRD# 6390
BD
Little Rock, AR
May 9, 2007 - October 16, 2008
T. J. RANEY & SONS, INC. - BD·CRD# 19243
BD
Little Rock, AR
May 25, 2005 - January 9, 2007
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
RIA
Little Rock, AR
May 23, 2005 - May 10, 2007
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
Little Rock, AR
May 23, 2005 - May 10, 2007
KEELEY CAPITAL MANAGEMENT·CRD# 126312
RIA
Little Rock, AR
September 11, 2003 - December 31, 2004
COLLEGE & UNIVERSITY SECURITIES CORPORATION·CRD# 42468
BD
Memphis, TN
December 5, 1997 - October 5, 1999
VINING-SPARKS IBG, LLC·CRD# 27502
BD
Memphis, TN
January 1, 1991 - July 11, 2003
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.·CRD# 16493
BD
December 10, 1990 - January 1, 1991
ICBA SECURITIES·CRD# 24088
BD
Memphis, TN
June 22, 1989 - July 11, 2003
VINING-SPARKS SECURITIES, INC.·CRD# 10073
BD
September 26, 1986 - January 1, 1991

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Current Firm

NC
NMS CAPITAL SECURITIES, LLC

MCA SECURITIES LLC | NMS CAPITAL SECURITIES, LLC

CRD#: 107401 / SEC#: 8-53037
BD
Terminated by SEC on 12/06/2015

Contact Information

Established

Illinois since 10/31/2000

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BURKE, CHRISTOPHER JOHNNON-INVOLVED OWNER1149870
WIK, MICHAEL DAVIDNON-INVOLVED OWNER1859149
NMS CAPITAL GROUP, LLCOWNER—
DOOLEY, BRADFORD RCFO4308078
LAVENDER, STACEY LYNNCHIEF COMPLIANCE OFFICER4365033
SALIBA, TREVOR MICHAELCEO2692057

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2003About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1986About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Sep 1984About the Series 3 exam

Series 24 — General Securities Principal Examination

Passed Oct 1986About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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