Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Daniel Ashley is a financial professional with over 13 years of experience in the industry. Keith is currently registered with Capital Client Group, Inc. in California. Keith has a strong background in investment advising and securities, holding licenses for Series 6, 7TO, and 63. Keith is also registered as an Investment Advisor Representative (IAR) in California. Keith's previous experience includes working at Signator Investors, Inc. in Indiana, and also at American Funds in Indianapolis and Los Angeles.
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
10/26/2016 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
IN
09/10/2007 - 03/15/2010
SIGNATOR INVESTORS, INC. (INDIANAPOLIS IN)
IA
Issued 09/19/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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