Nicholas Keating, financial advisor Brick NJ
63 score

Nicholas Keating

CRD Number: 1234118
Current Firm: Primerica Advisors

Nicholas Keating (CRD# 1234118) is an Investment Advisor Representative working at Primerica Advisors in Brick, NJ and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Primerica Financial Services Brick, NJ Feb 1991 - Current 25
Pfs Investments Inc. Brick, NJ Dec 1983 - Current 33
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1984
S65 NASAA Investment Advisors Law Examination Jun 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Nicholas L. Keating
Phone Number: 800-544-5445
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
63

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