Carl A. Keys
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.
Carl Alfred Keys was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1976. Carl had worked at 6 firms and has passed the Series 65, Series 63, Series 3, PC, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2007 - June 15, 2012
REGAL SECURITIES, INC.
June 2, 2003 - October 31, 2006
BROOKSTREET SECURITIES CORPORATION
May 7, 2003 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
April 14, 1992 - May 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - May 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 24, 1978 - March 13, 1987
MORGAN STANLEY DW INC.
March 1, 1976 - February 24, 1978
REYNOLDS SECURITIES, 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
PC
Date: 3/17/1987
AMEX Put and Call ExamSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
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