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Detailed Report
KEITH THOMAS TRUEX
KEITH T TRUEX
CRD#: 2524122
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 328 NEWMAN SPRINGS RD
SUITE #1
RED BANK, NJ 07701
Registration History
19952000200520102015202020252 FIRMS2012 - 2013 (1 year)2 FIRMS2014 - 2022 (7 years)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2022 - Present (3 years)BDWS INVESTMENTS DISTRIBUTORS, INC (CRD# 37306)2006 - 2009 (2 years)BCOLUMBIA MANAGEMENT DISTRIBUTO... (CRD# 30683)2004 - 2006 (1 year)BALLIANCEBERNSTEIN INVESTMENT R... (CRD# 14549)2003 - 2004 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 2003 (9 years)IACAMBRIDGE FINANCIAL GROUP, INC. (CRD# 112254)2010 - 2011 (1 year)IACOLUMBIA MANAGEMENT ADVISORS, LLC (CRD# 107900)2005 - 2006 (1 year)
Disclosure(s)
View By:
5/2/2016
Customer Dispute
Denied
License(s)

State Registrations

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New Jersey 2/15/2022
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Texas 1/5/2023
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
328 NEWMAN SPRINGS RD SUITE #1, RED BANK, NJ 07701
Registered with this firm since 2/15/2022
Previous Registration(s)
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 09/23/2014 - 01/14/2022 ADVICE AND PLANNING SERVICES (CRD#:20472) Red Bank, NJ
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 10/02/2014 - 01/14/2022 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) Red Bank, NJ
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 05/17/2012 - 05/23/2013 LORD, ABBETT & CO. LLC (CRD#:110391) JERSEY CITY, NJ
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 05/04/2012 - 05/23/2013 LORD ABBETT DISTRIBUTOR LLC (CRD#:530) JERSEY CITY, NJ
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 02/02/2010 - 06/27/2011 CAMBRIDGE FINANCIAL GROUP, INC. (CRD#:112254) RED BANK, NJ
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 08/18/2006 - 05/28/2009 DWS INVESTMENTS DISTRIBUTORS, INC (CRD#:37306) NEW YORK, NY
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 07/11/2005 - 07/21/2006 COLUMBIA MANAGEMENT ADVISORS, LLC (CRD#:107900) NEW YORK, NY
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 12/06/2004 - 07/21/2006 COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (CRD#:30683) NEW YORK, NY
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 11/06/2003 - 10/01/2004 ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. (CRD#:14549) NASHVILLE, TN
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 11/18/1994 - 11/05/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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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.