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 an active investment advisor representative at Cetera Investment Advisers LLC. Keith has been in the industry since 1998 and has held positions at various firms, including Legend Equities Corporation, OppenheimerFunds Distributor, Inc. and MFS Fund Distributors, Inc. Keith has licenses in numerous states and holds both a Series 7 and a Series 65 license. Keith offers financial planning services to individuals, businesses and pension plans.
YONKERS, NY
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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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 9/25/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/12/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/10/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/23/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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