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MATTHEW THOMAS KEEN
CRD#: 5888272
IA
B
CAPITAL INVESTMENT ADVISORY SERVICES, LLCCRD#: 149124 100 E. SIX FORKS ROAD
SUITE 200
RALEIGH, NC 27609
SUITE 200
RALEIGH, NC 27609
CAPITAL INVESTMENT BROKERAGE, INC.CRD#: 40657 100 E. SIX FORKS ROAD
STE 200
RALEIGH, NC 27609
STE 200
RALEIGH, NC 27609
0
Disclosures
12
Years of Experience
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State Registrations
IA
North Carolina 10/5/2016
B
North Carolina 10/6/2016
SRO Registrations
B
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IA
Registered with this firm since 10/5/2016
B
Registered with this firm since 3/24/2017
B
Registered with this firm since 10/5/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/22/2015 - 08/17/2016 | SMITHFIELD, NC | |
B | 01/22/2015 - 08/17/2016 | SMITHFIELD, NC | |
IA | 05/20/2013 - 12/23/2014 | ANNAPOLIS, MD | |
B | 06/21/2012 - 12/23/2014 | ANNAPOLIS, MD |
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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.