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CK

Courtney D. Keeling

AMERICAN FIDELITY SECURITIES
Oklahoma City, OK 73114-3701
Some features on this profile are disabled
CRD#: 7675059
CK

Professional summary

Courtney Danae Keeling, who also goes by Courtney D Keeling, Courtney West, is a registered financial professional currently at AMERICAN FIDELITY SECURITIES, INC. located in Oklahoma City, Oklahoma and FIRST FINANCIAL SECURITIES OF AMERICA, INC. located in Houston, Texas.

Courtney is registered as a RR (Registered Representative) and started their career in finance in 2023. Courtney has worked at 2 firms and has passed the Series 63, Series 6TO, SIE and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Courtney D Keeling | Courtney West

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) - BD

Click below to view Courtney Danae Keeling's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 9, 2023 - Present

AMERICAN FIDELITY SECURITIES, INC.

Office #1: 9000 Cameron Parkway, Oklahoma City, OK 73114-3701
BD
CRD#: 11852
Oklahoma City, OK
Current

May 22, 2024 - Present

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

Office #1: 16945 Northchase Drive Ste. 1800, Houston, TX 77060Office #2: 16945 Northchase Drive Suite 1800, Houston, TX 77060
BD
CRD#: 13642
Houston, TX

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
Oklahoma
(3/3/2023)
RR
Texas
(5/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 2/9/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/13/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/4/2023
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
FIRST FINANCIAL SECURITIES OF AMERICA, INC. | TAX SHELTERED INVESTMENTS EQUITIES CORPORATION | SOUTHWEST GENERAL SECURITIES CORPORATION

CRD#: 13642 / SEC#: , 8-29565

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
16945 Northchase Drive Suite 1800, Houston, TX 77060
Mailing Address
Po Box 670329, Houston, TX 77267-0329
Phone number
(281) 847-8422
Established
Texas since 12/04/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
70

FINRA licenses (28 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
AMERICAN FIDELITY ASSURANCE COMPANYSHAREHOLDER
BLUTT, PAUL MATHIASCHIEF FINANCIAL OFFICER/FINOP7912579
KEELING, COURTNEY DANAECHIEF COMPLIANCE OFFICER7675059
PRUITT, SHERRIE RENEVICE PRESIDENT2691254
SCHNAUTZ, DAWSON LOUISPRESIDENT, DIRECTOR, PRINCIPAL2159228

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

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

CRD#: 13642Oklahoma City, OK 73114-3701

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