Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Davis is a financial advisor registered with Principal Securities, Inc. Keith has been working in the financial industry since 1983. Keith is a Series 7, Series 66 and SIE licensed professional. Keith is registered in California, Florida, Indiana, Kentucky, Louisiana, Michigan, Mississippi, New York, North Carolina and Ohio. In addition to being registered as an investment advisor representative, Keith is also licensed to sell life, health and disability insurance. Keith is an active Registered Representative with Principal Securities, Inc. and has been with the firm since 2013. Previous to that, Keith worked with NYLIFE SECURITIES LLC from 2009 to 2013, MML INVESTORS SERVICES, INC. from 2006 to 2009, NEW ENGLAND SECURITIES from 1987 to 2004 and PENN MUTUAL EQUITY SERVICES, INC. from 1983 to 1987. Keith specializes in providing financial planning, portfolio management for individuals and educational seminars to clients. Keith works with a variety of clients including individuals, high net worth individuals, corporations, charities, pension and profit sharing plans, and state or municipal government entities. Keith is a dedicated professional with a passion for helping clients achieve their financial goals.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
OH
04/09/2013 - Present
Principal Securities, Inc. (CENTERVILLE OH)
OH
04/28/2009 - 04/05/2013
NYLIFE SECURITIES LLC (CENTERVILLE OH)
OH
02/17/2006 - 04/14/2009
MML INVESTORS SERVICES, INC. (DAYTON OH)
MA
12/01/2004 - 01/18/2006
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NY
06/08/1987 - 12/03/2004
NEW ENGLAND SECURITIES (NEW YORK NY)
NA
08/14/1987 - 11/19/1987
PENN MUTUAL EQUITY SERVICES, INC.
PA
11/22/1983 - 11/19/1987
PENN MUTUAL EQUITY SERVICES, INC. (HORSHAM PA)
BOTH
Issued 02/12/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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