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WILLIAM ARTHUR KEENEY
CRD#: 6053833
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 GREENVILLE, SC
0
Disclosures
12
Years of Experience
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State Registrations
B
California 11/14/2023
B
Pennsylvania 4/15/2020
B
Georgia 7/30/2020
B
South Carolina 4/15/2020
B
Maryland 4/15/2020
IA
South Carolina 10/6/2020
B
North Carolina 4/15/2020
B
Tennessee 2/25/2021
B
Ohio 4/15/2020
B
Virginia 4/15/2020
SRO Registrations
B
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B
Registered with this firm since 4/15/2020
IA
Registered with this firm since 4/15/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/04/2015 - 04/20/2020 | SALEM, VA | |
B | 01/06/2015 - 04/20/2020 | SALEM, VA | |
IA | 07/17/2012 - 12/18/2014 | CHESTERFIELD, VA | |
B | 05/15/2012 - 12/18/2014 | CHESTERFIELD, VA |
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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.