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RK

Robert L. Keys

Some features on this profile are disabled
CRD#: 720689
RK

Professional summary

Robert Lee Keys was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial advisor and started their career in finance in 1980. Prior to being barred, Robert had worked at 7 firms, which includes PRIVATE CONSULTING GROUP INC., KESTRA INVESTMENT SERVICES LLC, AXCELUS FINANCIAL DISTRIBUTION COMPANY, COOPERATIVE FINANCIAL PLANNERS LTD., CETERA WEALTH SERVICES LLC, SOUTHMARK FINANCIAL SERVICES INC., INTERPACIFIC INVESTORS SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Keys

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 4, 2001 - March 30, 2009

PRIVATE CONSULTING GROUP, INC.

BD
CRD#: 45053
PORTLAND, OR
Past

July 10, 2000 - December 14, 2000

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

September 2, 1998 - July 10, 2000

PRIVATE CONSULTING GROUP, INC.

BD
CRD#: 45053
PORTLAND, OR
Past

November 17, 1997 - December 31, 2008

PRIVATE CONSULTING GROUP, INC.

RIA
CRD#: 45053
PORTLAND, OR
Past

August 16, 1996 - September 15, 1998

AXCELUS FINANCIAL DISTRIBUTION COMPANY

BD
CRD#: 38383
PHILADELPHIA, PA
Past

March 21, 1986 - June 1, 1988

COOPERATIVE FINANCIAL PLANNERS, LTD.

BD
CRD#: 16891
Past

July 12, 1983 - December 31, 1998

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

May 5, 1981 - July 18, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

December 29, 1980 - June 6, 1981

INTERPACIFIC INVESTORS SERVICES, INC.

BD
CRD#: 4879

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/11/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/17/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/14/1981
General Securities Principal Examination

Current Firm

PC
PRIVATE CONSULTING GROUP, INC.
PRIVATE CONSULTING GROUP, INC.

CRD#: 45053 / SEC#: , 8-50980

BD
Terminated by SEC on 05/29/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Oregon since 02/20/1996
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PCG HOLDING COMPANY, LLC100% OWNER
KEYS, LYNN CROSSDIRECTOR1155541
KEYS, ROBERT LEECHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER & PRESIDENT720689

Disclosures

Regulatory Event2

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.

Company Information

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

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