Michael E. Keane
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 Edward Keane was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 12 firms and has passed the Series 63 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2013 - July 31, 2014
ACADEMY SECURITIES, INC.
March 28, 2011 - June 20, 2011
SENTINEL BROKERS COMPANY, INC.
January 26, 2010 - February 3, 2011
ROCKFLEET FINANCIAL SERVICES, INC
August 18, 2009 - January 26, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
September 10, 2003 - February 11, 2009
SIEBERT WILLIAMS SHANK & CO., LLC
November 18, 1998 - October 8, 2003
LOOP CAPITAL MARKETS LLC
January 26, 1993 - October 21, 1998
PRAGER & CO., LLC
May 9, 1990 - May 8, 1992
UBS FINANCIAL SERVICES INC.
July 22, 1988 - March 14, 1990
MARINE MIDLAND CAPITAL MARKETS CORP.
March 13, 1986 - July 20, 1988
HSBC BROKERAGE (USA) INC.
February 17, 1984 - August 14, 1985
MORGAN STANLEY DW INC.
March 16, 1979 - October 13, 1983
EHRLICH-BOBER & CO., 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
Current Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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