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KEITH GANDY
KEITH A GANDY
CRD#: 2367442
IA
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WELLS FARGO ADVISORSCRD#: 19616 4030 W BOY SCOUT BLVD STE 150
TAMPA, FL 33607
TAMPA, FL 33607
0
Disclosures
21
Years of Experience
View By:
State Registrations
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Alabama 5/10/2024
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Montana 5/10/2024
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California 1/29/2021
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Nevada 5/10/2024
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Colorado 1/29/2021
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New Jersey 5/10/2024
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Connecticut 5/10/2024
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New Mexico 5/10/2024
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District of Columbia 11/13/2024
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New York 1/29/2021
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Florida 1/29/2021
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North Carolina 1/29/2021
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Florida 2/1/2021
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Ohio 5/11/2024
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Georgia 1/29/2021
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Oregon 5/10/2024
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Hawaii 1/29/2021
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Pennsylvania 1/29/2021
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Illinois 10/28/2021
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Puerto Rico 1/29/2021
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Indiana 5/10/2024
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South Carolina 5/10/2024
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Kansas 5/10/2024
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Tennessee 1/29/2021
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Kentucky 5/10/2024
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Texas 1/29/2021
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Maryland 5/10/2024
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Texas 1/29/2021
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Massachusetts 1/29/2021
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Virginia 1/29/2021
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Michigan 5/10/2024
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Washington 1/29/2021
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Minnesota 5/10/2024
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West Virginia 5/10/2024
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Missouri 5/10/2024
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Wisconsin 1/29/2021
SRO Registrations
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IA
Registered with this firm since 1/29/2021
B
Registered with this firm since 1/29/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/30/2009 - 09/18/2019 | SHORT HILLS, NJ | |
B | 12/08/2008 - 09/18/2019 | SHORT HILLS, NJ | |
B | 06/28/1993 - 07/27/1999 | NEW YORK, NY |
SHORT HILLS, NJ
01/30/2009 - 09/18/2019
SHORT HILLS, NJ
12/08/2008 - 09/18/2019
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.