DK
David J. Keating
RESEARCH CAPITAL USA
Toronto, M5L 1G2
Some features on this profile are disabled
CRD#: 7111769
DK
Professional summary
David James Keating is a registered financial professional currently at RESEARCH CAPITAL USA INC. .
David is registered as a RR (Registered Representative) and started their career in finance in 2023. David has worked at 1 firm and has passed the Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view David James 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
May 17, 2023 - Present
RESEARCH CAPITAL USA INC.
Office #1: 199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2BD
CRD#: 39670
Toronto,
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
Colorado(5/17/2023)
RR
Florida(5/17/2023)
RR
Louisiana(5/17/2023)
RR
Maryland(5/17/2023)
RR
Puerto Rico(5/17/2023)
Exams
General Industry/Product Exam
RR
Series 79TO
Date: 5/17/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RC
RESEARCH CAPITAL USA INC.
MACKIE RESEARCH USA INC. | RESEARCH CAPITAL USA INC.
CRD#: 39670 / SEC#: , 8-48795
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
Mailing Address
199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
Phone number
(416) 860-7600
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (22 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
