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Raymond James Keith

Raymond J. Keith

Some features on this profile are disabled
CRD#: 7369685
Raymond James Keith

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.

Raymond James Keith, who also goes by Raymond J Keith III, was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 2021. Raymond had worked at 3 firms and has passed the Series 65 exam.

Biography

Raymond is an Associate in the Louisville office, where he focuses on the participant experience, which includes providing 1-on-1 consultations, plan enrollment assistance, and group education. Additionally, he provides service support to the firm’s plan sponsors, service partners, and lead advisors. Prior to joining Cerity Partners, Raymond was a Retirement Plan Advisor at ARGI Financial Group, where he started in 2021. Before ARGI, he successfully gained more than 25 years of corporate experience in the banking, insurance, financial services, merchant services, sales, and leadership industries. Previously, Raymond was an independent business owner for a life insurance brokerage firm that focused on education, empowerment, and financial literacy to ensure families and individuals were properly protected for the future. He enjoys spending time with his family, traveling the world, cruising, and watching professional sports.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Raymond J Keith Iii

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 J Brown Foundation, non-Inv Related, Managing member providing oversight of foundations finances, 1-5 hours per month

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

April 30, 2023 - March 6, 2024

CERITY PARTNERS LLC

RIA
CRD#: 151559
LOUISVILLE, KY
Past

April 28, 2023 - March 6, 2024

CERITY PARTNERS RETIREMENT PLAN CONSULTANTS

RIA
CRD#: 164198
LOUISVILLE, KY
Past

August 2, 2021 - April 24, 2023

CERITY PARTNERS OCIO LLC

RIA
CRD#: 151916
LOUISVILLE, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CP
CERITY PARTNERS LLC
CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA
Registered Investment Advisory firm - (10/22/2009 Approved)

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: 8/2/2021
Uniform Investment Adviser Law Examination

Current Firm

CP
CERITY PARTNERS LLC
CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA
Registered Investment Advisory firm - (10/22/2009 Approved)
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Contact information

Main Address
99 Park Avenue 16th Floor, New York, NY 10016
Mailing Address
Phone number
(212) 850-4260
Established
Firm type
Fiscal year end
# of Employees
1,166

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CP ADV PART 2A (9/18/2025)

Regulatory assets under management

Total Number of Accounts19,810
AUM (Assets Under Management)$ 122,848,693,051

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/23/2025
Cover Page
Report
07/24/2024
Cover Page
Report
09/28/2023
Cover Page
Report

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

CERITY PARTNERS LLC

ASSOCIATECRD#: 151559

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