Keith HubermanCRD Number: 3035582
Current Firm: Tlg Advisors, Inc.
Keith Huberman (CRD# 3035582) is an Investment Advisor Representative working at Tlg Advisors, Inc. in Matthews, NC and has over 19 years of experience in the finance industry. Keith Huberman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|The Leaders Group Inc.||Littleton, CO||May 2009 - Current||8|
|Tailor Made Financial Svcs||The Woodlands, TX||Mar 2009 - Current||9|
|American General Equity Services Corporation||Matthews, NC||Jul 2008 - May 2009||< 1|
|American General Life Insurance Company||Houston, TX||Mar 2008 - May 2009||1|
|P.j. Robb Variable||Harrisburg, PA||May 2004 - Apr 2008||3|
|Time Financial - A Crump Company||Charlotte, NC||Jan 2003 - Mar 2008||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1998|
|S65||NASAA Investment Advisors Law Examination||Jun 1999|
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
Total Assets Under Management311MILLIONS
Total Number of Accounts1,100ACCOUNTS
Average Account Value$283,162
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
CA, CO, CT, FL, GA, ID, IL, IN, LA, MA, MD, MI, MN, MO, MS, NC, NE, NH, NY, OH, PA, RI, TX, UT, VA, WA, WI