Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Banks has been in the financial services industry since August 2002 and is currently registered with LPL Financial LLC. Keith is registered as a registered representative in New Jersey, New York, and Texas. Keith is also a registered investment advisor representative in New Jersey, New York, and Texas. Before joining LPL Financial LLC, Keith was previously employed by MML Investors Services, LLC, MSI Financial Services, INC., Chase Investment Services Corp., Citigroup Global Markets INC., CitiCorp Investment Services, AXA Advisors, LLC, Chase Investment Services Corp., MONY Securities Corporation, and Quick & Reilly, INC. Keith has passed the Series 7, Series 63, Series 66, and SIE exams. Keith is a registered representative of, and offers securities through, LPL Financial LLC. Keith is also a registered investment advisor representative of LPL Financial LLC. LPL Financial LLC is a registered investment advisor and member FINRA/SIPC.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
12/09/2020 - Present
LPL Financial LLC (VALLEY STREAM NY)
NY
03/25/2017 - 05/15/2020
MML INVESTORS SERVICES, LLC (BROOKLYN NY)
NY
05/24/2010 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (BROOKLYN NY)
NY
12/01/2009 - 02/12/2010
CHASE INVESTMENT SERVICES CORP. (BROOKLYN NY)
NY
05/29/2007 - 12/14/2009
CITIGROUP GLOBAL MARKETS INC. (BROOKLYN NY)
NY
07/28/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (BROOKLYN NY)
NY
11/15/2004 - 07/18/2006
AXA ADVISORS, LLC (NEW YORK NY)
IL
12/19/2003 - 11/02/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NY
03/08/2002 - 11/05/2003
MONY SECURITIES CORPORATION (NEW YORK NY)
NY
07/02/2001 - 07/13/2001
QUICK & REILLY, INC. (NEW YORK NY)
BOTH
Issued 04/30/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/06/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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