Keith R. Whitman
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.
Keith Randall Whitman, CFP® was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1976. Keith had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1989
Experience
June 6, 2014 - November 7, 2023
MORGAN STANLEY
June 6, 2014 - November 7, 2023
MORGAN STANLEY
January 3, 2011 - June 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 26, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 5, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 23, 2001 - January 6, 2004
EDWARD JONES
July 12, 1999 - August 28, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
December 19, 1997 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
July 31, 1996 - December 15, 1997
IDS LIFE INSURANCE COMPANY
July 31, 1996 - December 15, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
July 28, 1994 - July 31, 1996
SYMETRA SECURITIES, INC.
February 2, 1994 - June 2, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 14, 1987 - February 1, 1994
SIGNATOR FINANCIAL SERVICES, INC.
August 11, 1983 - September 30, 1987
SYMETRA SECURITIES, INC.
July 18, 1979 - January 22, 1982
SYMETRA SECURITIES, INC.
May 20, 1976 - July 5, 1979
NYLIFE SECURITIES LLC
April 1, 1976 - July 1, 1976
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 1, 1976 - July 1, 1976
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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 1
Date: 3/22/1976
Registered Representative ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
