Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
EARL J. J KELLER III
EARL J KELLER III, EARL JOSEPH KELLER III, EARL JOSEPH KELLER, ROCKY KELLER, EARL J KELLER III
CRD#: 2224677
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1100 POYDRAS STREET
SUITE 900
NEW ORLEANS, LA 70163
Registration History
1995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1998 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1993 - Present (32 years)
License(s)

State Registrations

B
Arizona 4/21/2023
B
Mississippi 1/11/2018
B
California 5/8/1998
B
South Dakota 7/11/2023
B
Florida 4/26/2022
B
Tennessee 3/30/2006
B
Louisiana 3/2/1993
B
Texas 2/9/1998
IA
Louisiana 12/22/2015
IA
Texas 2/9/1998

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1100 POYDRAS STREET SUITE 900, NEW ORLEANS, LA 70163
909 Poydras Street Suite 2900, NEW ORLEANS, LA 70112
Registered with this firm since 2/9/1998
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1100 POYDRAS STREET SUITE 900, NEW ORLEANS, LA 70163
909 Poydras Street Suite 2900, NEW ORLEANS, LA 70112
Registered with this firm since 3/1/1993
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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.