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Dean W Keller

Independence Point Securities LLC

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About Dean W Keller

Dean W. Keller is a financial advisor who has been in the industry since 2001. Currently, Dean is registered with Independence Point Securities LLC. Dean has previously held positions at Guggenheim Securities, LLC, BNP Paribas Securities Corp., Deutsche Bank Securities Inc., Citigroup Global Markets Inc., and Salomon Brothers Inc. Dean has passed the Series 7, 79, 24, 52TO, SIE and Series 63 exams and is currently registered in Colorado, New York, and Wisconsin.

Firm Information

Dean Keller is currently registered with Independence Point Securities LLC. Independence Point Securities LLC is a Limited Liability Company formed on November 23, 2021. The firm is registered in seven states: California, Colorado, New York, Pennsylvania, Texas, Utah, and Wisconsin, and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

16

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Dean Keller’s Registration & Firm History

NY

08/18/2022 - Present

Independence Point Securities LLC (New York NY)

NY

09/08/2015 - 08/03/2022

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

12/21/2013 - 06/26/2015

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

02/09/2011 - 10/01/2012

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

11/28/1997 - 08/15/2008

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

09/17/1997 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/16/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/05/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/05/2011

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 09/16/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dean W Keller.
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