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Detailed Report
RAYMOND LYLE KEAN
RAYMOND L KEAN
CRD#: 2562320
IA
Investment Adviser
B
Broker
NEWEDGE ADVISORSCRD#: 171351 Barrington, IL
NEWEDGE SECURITIES, LLCCRD#: 10674 BARRINGTON, IL
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (2 years)IANEWEDGE ADVISORS (CRD# 171351)2021 - Present (3 years)BNEWEDGE SECURITIES, LLC (CRD# 10674)2009 - Present (15 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1999 - 2007 (7 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 1999 (<1 year)BFIRST CHICAGO NBD INVESTMENT S... (CRD# 17516)1997 - 1999 (1 year)BNYLIFE SECURITIES INC. (CRD# 5167)1995 - 1997 (2 years)IAMID ATLANTIC FINANCIAL MANAGEM... (CRD# 109771)2009 - 2021 (11 years)IACITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2007 (4 years)
Disclosure(s)
View By:
7/18/2000
Customer Dispute
Closed-No Action
7/18/2000
Customer Dispute
Closed-No Action
7/18/2000
Customer Dispute
Settled
2/28/2000
Customer Dispute
Settled
2/2/2000
Customer Dispute
Settled
1/28/2000
Customer Dispute
Settled
1/26/2000
Customer Dispute
Settled
9/9/1999
Customer Dispute
Settled
9/9/1999
Customer Dispute
Settled
9/9/1999
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 12/5/2009
IA
Illinois 11/1/2021
B
Florida 9/29/2011
IA
Texas 11/1/2021
B
Illinois 12/7/2009

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
NEWEDGE ADVISORS (CRD#:171351)
Barrington, IL
Registered with this firm since 11/1/2021
B
NEWEDGE SECURITIES, LLC (CRD#:10674)
BARRINGTON, IL
GLENVIEW, IL
Registered with this firm since 12/5/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/07/2009 - 11/01/2021 MID ATLANTIC FINANCIAL MANAGEMENT, INC. (CRD#:109771) NORTHFIELD, IL
IA
 05/29/2007 - 12/17/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHICAGO, IL
B
 05/29/2007 - 12/17/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHICAGO, IL
IA
 01/27/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) WINNETKA, IL
B
 07/07/1999 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) WINNETKA, IL
B
 02/01/1999 - 07/09/1999 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 10/03/1997 - 02/01/1999 FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
B
 01/30/1995 - 10/07/1997 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
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.