Robert C. Mayes
Professional summary
Robert Carl Mayes, who also goes by Robert Carl Gilliam, is a registered financial advisor currently at KEEL POINT, LLC located in Huntsville, Alabama and KEEL POINT CAPITAL, LLC located in Huntsville, Alabama.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Robert has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert Carl Mayes's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2003 - Present
KEEL POINT, LLC
Office #1: 100 Church Street Suite 500, Huntsville, AL 35801January 15, 2004 - Present
KEEL POINT CAPITAL, LLC
Office #1: 100 Church Street Suite 500, Huntsville, AL 35801Office #2: 4000 West 114th Street Suite 120, Leawood, KS 66211Office #3: 100 Church Street Suite 500, Huntsville, AL 35801March 6, 1984 - August 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1982 - August 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 1980 - February 15, 1984
USLIFE EQUITY SALES CORP.
Primary Firm SEC Registration
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/14/2003)
(1/15/2004)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 2/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
Red Flags
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