Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Small is a financial advisor with over 20 years of experience in the financial services industry. Keith is currently registered with Cetera Investment Advisers LLC and has a diverse background, having previously worked with firms such as Legend Equities Corporation, Oppenheimerfunds Distributor, Inc., MFS Fund Distributors, Inc., Eaton Vance Distributors, Inc., and FIS Securities, Inc. Keith holds a Series 7, Series 24, Series 63, and Series 65 license and is registered in over 30 states. Keith specializes in providing financial planning, portfolio management, and pension consulting services to individuals, families, and businesses. Keith also offers educational seminars and assists clients with selecting other financial advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
03/21/2022 - Present
Cetera Investment Advisers LLC (YONKERS NY)
IL
04/24/2015 - 01/25/2016
LEGEND EQUITIES CORPORATION (Schaumburg IL)
NY
10/06/2003 - 02/03/2009
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
MA
05/31/2000 - 06/19/2003
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
MA
09/16/1998 - 05/24/2000
EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)
MA
08/04/1998 - 08/26/1998
FIS SECURITIES, INC. (BOSTON MA)
IA
Issued 09/25/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/12/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/10/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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