Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Michael Cagan has been in the financial industry since April 1997. He is currently registered with Pershing LLC and BNY Mellon Capital Markets, LLC. Keith has experience in a number of areas including Municipal Securities, Securities Trading, and Equity Trading. He has held previous positions at BNY Capital Markets Inc. and BNY Investment Center Inc.. Keith has passed a number of industry exams including the Series 63, 24, 52TO, 57TO, SIE, 55, 7, and 6.
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.
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.
1
2
NY
07/03/2024 - Present
Pershing LLC (NEW YORK NY)
NY
09/14/2005 - 04/30/2008
BNY CAPITAL MARKETS INC. (NEW YORK NY)
NY
10/06/1999 - 09/06/2005
BNY INVESTMENT CENTER INC. (NEW YORK NY)
CA
12/08/1998 - 10/21/1999
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
CA
03/27/1997 - 11/19/1998
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
BC
Issued 04/07/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/2001
Series 24 - General Securities Principal Examination
BC
Issued 07/19/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/25/1998
Series 7 - General Securities Representative Examination
BC
Issued 03/26/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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