Keith E. Weatherspoon
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 Earl Weatherspoon was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1978. Keith had worked at 6 firms and has passed the Series 63 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
December 2, 1991 - October 14, 1993
RODMAN & RENSHAW INC.
August 19, 1991 - November 13, 1991
STEPHENS
May 12, 1986 - November 1, 1990
PERSHING LLC
September 5, 1985 - June 13, 1986
PRYOR, COUNTS & CO., INC.
May 29, 1979 - April 15, 1985
E. F. HUTTON & COMPANY INC
June 26, 1978 - June 26, 1979
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
RODMAN & RENSHAW INC.
CRD#: 724 / SEC#: , 8-15366
Contact information
Documents
Red Flags
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