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Keating Lewis Simons
Keating Simons IV
CRD#: 6870915
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 225 SEVEN FARMS DR
STE 106
DANIEL ISLAND, SC 29492
STE 106
DANIEL ISLAND, SC 29492
CETERA ADVISOR NETWORKS LLCCRD#: 13572 DANIEL ISLAND, SC
0
Disclosures
6
Years of Experience
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State Registrations
B
Maine 12/14/2023
IA
South Carolina 8/10/2023
B
South Carolina 8/10/2023
B
West Virginia 10/9/2023
SRO Registrations
B
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IA
Registered with this firm since 8/10/2023
B
Registered with this firm since 8/10/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/12/2021 - 08/10/2023 | DANIEL ISLAND, SC | |
B | 12/04/2019 - 08/10/2023 | DANIEL ISLAND, SC | |
IA | 06/05/2018 - 10/07/2019 | JOHNS ISLAND, SC |
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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.