Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Keating is a registered representative of Wells Fargo Securities, LLC. Kevin Keating has over 22 years of experience in the securities industry. Kevin Keating is registered with FINRA and the state of North Carolina. Kevin Keating is a Series 7, 24, 55, 62, 63, 57TO and 99TO licensed professional. Kevin Keating has held prior positions at Pershing Trading Company, L.P. and Donaldson, Lufkin & Jenrette Securities Corporation.
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
NC
11/09/2004 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NJ
09/19/2001 - 09/23/2003
PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)
NJ
01/19/2001 - 09/20/2001
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NJ
09/23/1999 - 01/10/2001
DLJDIRECT INC. (JERSEY CITY NJ)
BC
Issued 11/05/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/22/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
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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