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Keith Eric Robertson

B. C. Ziegler AND Co.

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About Keith Eric Robertson

Keith Eric Robertson is a financial professional with over 25 years of experience in the industry. Keith is currently registered with B. C. Ziegler AND Co. and holds a variety of licenses and certifications, including Series 7, 6, 52, 50, 53, 63 and 66. Keith has experience in the securities industry and is registered in Connecticut and New York.

Firm Information

Keith Robertson is currently registered with B. C. Ziegler AND Co.. B. C. Ziegler AND Co. is a Corporation that was formed on February 12, 1920. The firm is registered in 52 states and has been approved for SEC registration. They offer a variety of services to a diverse client base, including insurance companies, investment companies, charitable organizations, high-net-worth individuals, other investment advisers, pooled investment vehicles, banking or thrift institutions, business development companies, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The firm has disclosed 7 Regulatory Events, 2 Civil Events, and 2 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

59

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Keith Robertson’s Registration & Firm History

CT

02/08/2007 - Present

B. C. Ziegler AND Co. (West Hartford CT)

MN

05/09/1996 - 11/22/1996

MIMLIC SALES CORPORATION (ST. PAUL MN)

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Licenses & Designations

BOTH

Issued 12/07/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/10/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/21/2019

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 12/18/2019

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/02/2007

Series 7 - General Securities Representative Examination

BC

Issued 05/01/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Keith Eric Robertson. Review regulatory record here.
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