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Detailed Report
ROBERT HOWARD KELLER
ROB KELLER, ROBERT H KELLER
CRD#: 2168444
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 301 CALIFORNIA DR. STE 10
BURLINGAME, CA 94010
Registration History
19952000200520102015202020253 FIRMS2002 - 2002 (<1 year)2 FIRMS2002 - 2004 (1 year)2 FIRMS2004 - 2008 (4 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - 2017 (3 years)2 FIRMS2024 - Present (<1 year)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2017 - 2024 (6 years)BQUICK & REILLY, INC. (CRD# 11217)2001 - 2002 (1 year)BWORLDCO, L.L.C. (CRD# 24673)2001 - 2001 (<1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)1998 - 1998 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1998 (3 years)BNATIONSSECURITIES (CRD# 32542)1993 - 1994 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1991 - 1993 (1 year)IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2022 - 2024 (1 year)IAB RILEY WEALTH MANAGEMENT (CRD# 2543)2017 - 2022 (5 years)
Disclosure(s)
View By:
7/13/2017
Employment Separation After Allegations
License(s)

State Registrations

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Arizona 5/3/2024
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Montana 5/3/2024
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California 5/3/2024
B
Nevada 5/3/2024
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California 5/6/2024
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New York 5/3/2024
B
Colorado 5/3/2024
B
Ohio 1/30/2025
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Florida 5/3/2024
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Tennessee 5/3/2024
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Georgia 10/22/2024
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Utah 5/3/2024
B
Illinois 7/29/2024
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Washington 5/3/2024
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Massachusetts 5/3/2024
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Wisconsin 5/3/2024

SRO Registrations

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 FINRA

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Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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LPL FINANCIAL LLC (CRD#:6413)
301 CALIFORNIA DR. STE 10, BURLINGAME, CA 94010
301 California Dr. Suite 10, Burlingane, CA 94010
Registered with this firm since 5/6/2024
B
LPL FINANCIAL LLC (CRD#:6413)
301 CALIFORNIA DR. STE 10, BURLINGAME, CA 94010
301 California Dr. Suite 10, Burlingane, CA 94010
Registered with this firm since 5/3/2024
Previous Registration(s)
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 08/11/2022 - 05/06/2024 B. RILEY WEALTH ADVISORS, INC. (CRD#:115927) Burlingame, CA
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 07/27/2017 - 05/06/2024 B. RILEY WEALTH MANAGEMENT (CRD#:2543) Burlingame, CA
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 07/27/2017 - 12/31/2022 B RILEY WEALTH MANAGEMENT (CRD#:2543) Burlingame, CA
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 09/03/2013 - 08/09/2017 MORGAN STANLEY (CRD#:149777) BEVERLY HILLS, CA
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 09/03/2013 - 08/09/2017 MORGAN STANLEY (CRD#:149777) BEVERLY HILLS, CA
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 10/23/2009 - 09/04/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MATEO, CA
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 10/23/2009 - 09/04/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MATEO, CA
IA
 09/02/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN MATEO, CA
B
 08/29/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN MATEO, CA
IA
 09/08/2004 - 09/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MATEO, CA
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 09/08/2004 - 09/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MATEO, CA
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 10/15/2002 - 09/22/2004 QUICK & REILLY, INC. (CRD#:11217) PALO ALTO, CA
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 10/15/2002 - 09/22/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
IA
 09/17/2002 - 10/10/2002 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MENLO PARK, CA
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 09/17/2002 - 10/10/2002 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
IA
 09/04/2002 - 09/30/2002 QUICK & REILLY, INC. (CRD#:11217) PALO ALTO, CA
B
 04/18/2001 - 09/30/2002 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 03/27/2001 - 05/31/2001 WORLDCO, L.L.C. (CRD#:24673) NEW YORK, NY
B
 06/26/1998 - 12/23/1998 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
B
 09/19/1994 - 07/08/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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 07/12/1993 - 09/21/1994 NATIONSSECURITIES (CRD#:32542)
B
 08/23/1991 - 07/12/1993 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.