Keith E. Gebler
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 Eric Gebler was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1976. Keith had worked at 27 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, PC, Series 7, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2019 - January 8, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
July 18, 2019 - January 8, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 2017 - May 21, 2019
FFEC WEALTH PARTNERS LLC
May 19, 2017 - May 21, 2019
FFEC WEALTH PARTNERS LLC
March 26, 2014 - December 19, 2016
OSAIC SERVICES, INC.
March 24, 2014 - December 19, 2016
OSAIC SERVICES, INC.
August 23, 2010 - March 27, 2014
VALIC FINANCIAL ADVISORS, INC.
August 4, 2010 - March 27, 2014
VALIC FINANCIAL ADVISORS, INC.
November 19, 2007 - August 17, 2010
REGAL ADVISORY SERVICES, INC.
July 5, 2007 - August 17, 2010
REGAL SECURITIES, INC.
August 9, 2005 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
August 26, 2003 - August 2, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 16, 2001 - September 3, 2003
FIRST SOUTHWEST COMPANY, LLC
February 27, 1998 - January 25, 2001
JOSEPHTHAL & CO., INC.
April 28, 1997 - March 15, 1998
ACCESS FINANCIAL GROUP, INC.
January 3, 1994 - April 22, 1997
JWGENESIS SECURITIES, INC.
September 25, 1992 - January 3, 1994
JW GENESIS CLEARING CORP.
December 6, 1991 - August 10, 1992
PARAGON CAPITAL MARKETS, INC.
August 19, 1991 - December 3, 1991
MORGAN STANLEY DW INC.
August 20, 1990 - August 20, 1991
LEHMAN BROTHERS INC.
January 24, 1990 - July 17, 1990
ADAMS, BLOCK & COE SECURITIES, INC.
February 7, 1989 - January 16, 1990
RAYMOND JAMES & ASSOCIATES, INC.
September 7, 1988 - March 9, 1989
GLOBAL CAPITAL SECURITIES CORPORATION
March 21, 1988 - September 19, 1988
THOMSON MCKINNON SECURITIES INC.
April 24, 1980 - April 8, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - April 23, 1980
UBS FINANCIAL SERVICES INC.
May 25, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 18, 1978 - June 26, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
April 22, 1977 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
April 21, 1976 - May 18, 1977
DEAN WITTER & CO. INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 5
Date: 2/8/1983
Interest Rate Options ExaminationPC
Date: 5/22/1980
AMEX Put and Call ExamSeries 12
Date: 10/9/1979
NYSE Branch Manager ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
