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KEITH D UNDERWOOD
Keith David Underwood, Keith Underwood
CRD#: 2570403
IA
B
MORGAN STANLEYCRD#: 149777 One Fawcett Place
3Rd Floor
Greenwich, CT 06830
3Rd Floor
Greenwich, CT 06830
0
Disclosures
7
Years of Experience
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State Registrations
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Arizona 10/25/2024
B
New Hampshire 10/25/2024
B
California 10/25/2024
B
New Jersey 10/25/2024
B
Colorado 10/25/2024
B
New York 10/25/2024
B
Connecticut 10/25/2024
B
North Carolina 10/25/2024
IA
Connecticut 10/25/2024
B
Ohio 10/25/2024
B
Delaware 10/25/2024
B
Oregon 10/25/2024
B
District of Columbia 10/25/2024
B
Pennsylvania 10/25/2024
B
Florida 10/25/2024
B
Rhode Island 10/25/2024
B
Hawaii 12/17/2024
B
South Carolina 10/25/2024
B
Idaho 10/25/2024
B
South Dakota 10/25/2024
B
Illinois 10/25/2024
B
Tennessee 10/25/2024
B
Indiana 10/25/2024
B
Texas 10/25/2024
B
Maine 10/25/2024
IA
Texas 10/25/2024
B
Maryland 10/25/2024
B
Vermont 10/25/2024
B
Massachusetts 10/25/2024
B
Virginia 10/25/2024
B
Missouri 10/25/2024
B
Washington 10/25/2024
B
Nevada 10/25/2024
SRO Registrations
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B
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IA
Registered with this firm since 10/25/2024
B
Registered with this firm since 10/25/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2019 - 10/28/2024 | NEW ROCHELLE, NY | |
B | 04/18/2019 - 10/28/2024 | NEW ROCHELLE, NY | |
B | 07/11/1996 - 03/03/1998 | NEW YORK, NY |
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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.