Michael T. Keller
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.
Michael Terrance Keller, who also goes by Mike Keller, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1975. Michael had worked at 18 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 24, Series 27, Series 53, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2016 - September 14, 2020
FSIC
November 18, 2015 - December 5, 2022
VORPAHL WING SECURITIES INC.
March 9, 2009 - November 6, 2013
SELKIRK INVESTMENTS, INC.
July 13, 2006 - December 6, 2006
WINGED KEEL SECURITIES, LLC
February 29, 2000 - March 12, 2007
M HOLDINGS SECURITIES, INC.
December 1, 1998 - July 27, 1999
MCADAMS WRIGHT RAGEN, INC.
November 9, 1998 - May 4, 1999
CAPITAL ONE INVESTING, LLC
November 20, 1997 - October 13, 1998
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
June 19, 1996 - January 1, 1999
DAUGHERTY, COLE INC.
August 25, 1993 - June 21, 1994
SEAFIRST INVESTMENT SERVICES, INC.
July 29, 1987 - August 24, 1993
WAMU INVESTMENTS, INC.
January 20, 1986 - July 1, 1987
WEATHERLY SECURITIES CORPORATION
September 18, 1985 - January 14, 1986
R.W. SMITH & ASSOCIATES, LLC
January 23, 1985 - June 21, 1985
PFG SECURITIES, INC.
September 5, 1984 - October 15, 1984
SYNDEX SECURITIES CORPORATION
December 2, 1983 - May 4, 1984
WINDSOR CAPITAL INCORPORATED
March 6, 1980 - March 8, 1983
ENI CORPORATION
October 21, 1975 - October 23, 1980
INTERPACIFIC INVESTORS SERVICES, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationF04
Date: 10/14/1975
Financial Principal ExaminationSeries 00
Date: 10/14/1975
General Securities Principal ExaminationCurrent Firm
FSIC
CRD#: 37813 / SEC#: 801-64354, 8-48032
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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