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Detailed Report
KEITH THOMAS GIBSON
CRD#: 2986239
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 985 BERKSHIRE BLVD
WYOMISSING, PA 19610
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - Present (17 years)BNATIONAL FINANCIAL SERVICES LLC (CRD# 13041)2005 - 2006 (1 year)BCORRESPONDENT SERVICES CORPORATION (CRD# 25927)2003 - 2005 (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2003 - 2003 (<1 year)
License(s)

State Registrations

B
Arizona 6/23/2008
B
New Hampshire 10/7/2019
B
California 6/23/2008
B
New Jersey 6/23/2008
B
Colorado 3/20/2009
B
New York 6/23/2008
IA
Connecticut 12/4/2007
B
North Carolina 6/23/2008
B
Delaware 6/23/2008
B
Ohio 3/20/2009
B
District of Columbia 6/23/2008
B
Pennsylvania 2/5/2007
B
Florida 6/23/2008
IA
Pennsylvania 6/24/2010
B
Georgia 4/27/2010
B
South Carolina 1/4/2019
B
Illinois 2/15/2019
B
Tennessee 7/18/2011
B
Kansas 4/20/2012
B
Texas 6/23/2008
B
Maine 2/11/2020
IA
Texas 6/23/2008
B
Maryland 6/23/2008
B
Utah 1/23/2020
B
Massachusetts 6/23/2008
B
Virginia 1/8/2024
B
Minnesota 9/29/2021
B
Washington 3/20/2009
B
Missouri 7/22/2021
B
Wyoming 6/23/2008
B
Nevada 6/23/2008

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
985 BERKSHIRE BLVD, WYOMISSING, PA 19610
Registered with this firm since 12/4/2007
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
985 BERKSHIRE BLVD, WYOMISSING, PA 19610
Registered with this firm since 2/5/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/06/2005 - 12/15/2006 NATIONAL FINANCIAL SERVICES LLC (CRD#:13041) JERSEY CITY, NJ
B
 06/24/2003 - 02/18/2005 CORRESPONDENT SERVICES CORPORATION (CRD#:25927) NEW YORK, NY
B
 01/22/2003 - 07/01/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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.