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Detailed Report
KEITH M CURTIS
KEITH MICHAEL CURTIS
CRD#: 4798755
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2006200820102012201420162018202020222024IAAEGIS CAPITAL CORP. (CRD# 15007)2015 - 2022 (6 years)IAJHS CAPITAL ADVISORS, LLC (CRD# 112097)2010 - 2015 (5 years)IAGUNNALLEN FINANCIAL, INC (CRD# 17609)2008 - 2010 (1 year)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2008 (1 year)IAMORGAN STANLEY (CRD# 7556)2005 - 2007 (1 year)
Disclosure(s)
View By:
11/16/2023
Regulatory
Final
10/21/2020
Criminal
Pending Charge
Previous Registration(s)
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 06/17/2015 - 01/03/2022 AEGIS CAPITAL CORP. (CRD#:15007) TAMPA, FL
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 03/26/2010 - 06/17/2015 JHS CAPITAL ADVISORS, LLC (CRD#:112097) SARASOTA, FL
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 06/16/2008 - 03/23/2010 GUNNALLEN FINANCIAL, INC (CRD#:17609) SARASOTA, FL
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 04/02/2007 - 06/16/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SARASOTA, FL
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 05/23/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SARASOTA, FL
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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.
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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.