Keith W. Mistretta
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 Mistretta, who also goes by Keith William Mistretta, Keith W Mistretta, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1981. Keith had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2023 - July 10, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 24, 2023 - July 10, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 25, 2022 - December 5, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 6, 2017 - February 14, 2020
NEXT FINANCIAL GROUP, INC.
December 6, 2017 - February 14, 2020
NEXT FINANCIAL GROUP, INC.
August 18, 2017 - October 18, 2017
THE STRATEGIC FINANCIAL ALLIANCE, INC.
August 7, 2017 - October 18, 2017
THE STRATEGIC FINANCIAL ALLIANCE, INC.
May 23, 2016 - March 17, 2017
CITIZENS SECURITIES, INC.
May 23, 2016 - March 17, 2017
CITIZENS SECURITIES, INC.
August 5, 2014 - May 20, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
August 5, 2014 - May 20, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 13, 2012 - December 18, 2013
NATIONAL PLANNING CORPORATION
January 13, 2012 - December 18, 2013
NATIONAL PLANNING CORPORATION
April 27, 2011 - November 11, 2011
FIRST ALLIED SECURITIES, INC.
April 27, 2011 - November 11, 2011
FIRST ALLIED SECURITIES, INC.
April 12, 2007 - March 1, 2011
SECURITIES AMERICA ADVISORS, INC.
August 2, 2006 - March 1, 2011
SECURITIES AMERICA, INC.
October 16, 2001 - June 30, 2006
CINCINNATI ANALYSTS, INC.
February 12, 2001 - August 22, 2001
SUNAMERICA SECURITIES, INC.
February 7, 1999 - July 3, 2000
SECURITIES MANAGEMENT & RESEARCH, INC.
December 16, 1989 - January 4, 1999
LPL FINANCIAL LLC
April 19, 1988 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
January 15, 1987 - March 31, 1988
A. G. EDWARDS & SONS, INC.
February 9, 1984 - January 6, 1987
ROBERT C. CARR & CO., INC.
March 18, 1981 - February 1, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
March 18, 1981 - February 1, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
March 18, 1981 - February 1, 1984
IDS LIFE INSURANCE COMPANY
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
