Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Alan Piken is a financial advisor with over 27 years of experience in the industry. Keith is currently registered with Capital Client Group, Inc. and holds a Series 7, Series 63, Series 24, Series 26, and Series 65 licenses. Prior to joining Capital Client Group, Inc., Keith held positions at various firms, including American Funds Distributors, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and BANC of America Investment Services, Inc. Keith specializes in providing investment advisory services to high-net-worth individuals and charitable organizations.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
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2
CA
01/02/2025 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
CA
02/15/2011 - 01/04/2021
AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)
MA
10/23/2009 - 02/02/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
MA
04/02/2009 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MA
08/20/2005 - 10/01/2008
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)
NC
10/13/2004 - 08/20/2005
BACAP DISTRIBUTORS, LLC (CHARLOTTE NC)
MA
12/10/1997 - 10/15/2004
COLUMBIA FUNDS DISTRIBUTOR, INC. (BOSTON MA)
RI
03/11/1997 - 12/16/1997
FIDELITY DISTRIBUTORS CORPORATION (SMITHFIELD RI)
RI
01/18/1995 - 03/11/1997
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 02/20/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 06/22/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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