Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Rowling is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., where Keith has been employed since March of 2017. Prior to this, Keith worked with Morgan Stanley for 7 years. Keith has 21 years of experience in the financial industry and holds licenses in Florida, Michigan and Texas. Keith is licensed to provide both investment advice and brokerage services and is a registered representative of both the Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA). Keith is also a member of the National Futures Association (NFA). Keith has a strong track record of success in helping clients reach their financial goals. Keith specializes in providing financial planning and investment management services to a variety of clients, including high-net-worth individuals, families, businesses, and retirement plans. Keith also offers services such as estate planning and college savings planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
FL
03/03/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALM BEACH FL)
FL
06/01/2009 - 03/06/2017
MORGAN STANLEY (DELRAY BEACH FL)
MI
02/11/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TROY MI)
MI
06/03/2003 - 03/03/2008
UBS FINANCIAL SERVICES INC. (TROY MI)
NJ
05/16/2002 - 02/28/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 03/28/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/2009
Series 3 - National Commodity Futures Examination
BC
Issued 05/15/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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