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KA

Keenan A. Abraham

PEP ADVISORY LLC
Houston, TX 77007
Some features on this profile are disabled
CRD#: 7714456
KA

Professional summary

Keenan Adlai Abraham is a registered financial professional currently at PEP ADVISORY LLC located in Houston, Texas.

Keenan is registered as a RR (Registered Representative) and started their career in finance in 2024. Keenan has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Keenan Adlai Abraham's 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

October 14, 2024 - Present

PEP ADVISORY LLC

Office #1: 100 Waugh Drive Suite 600, Houston, TX 77007
BD
CRD#: 166636
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
Texas
(10/28/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/14/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/9/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PEP ADVISORY LLC
CDH SECURITIES, LLC | PEP ADVISORY LLC | HEIKKINEN ENERGY SECURITIES, LLC

CRD#: 166636 / SEC#: , 8-69224

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

Main Address
100 Waugh Drive Suite 600, Houston, TX 77007
Mailing Address
100 Waugh Drive Suite 600, Houston, TX 77007
Phone number
(713) 930-0371
Established
Texas since 12/07/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INVICTA XV + LPLIMITED PARTNER/MEMBER
GUHA, JISHNUCHIEF COMPLIANCE OFFICER4908714
MOODY, WALKER NELSONCEO5007440
PICKERING, DANIEL RAYMANAGING DIRECTOR2832592
SCHAPS, MICHAEL ROBERTFINOP/CFO/PFO/POO1892138

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

PEP ADVISORY LLC

CRD#: 166636Houston, TX 77007

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