Keith SpringerCRD Number: 1529083
Current Firm: Springer Financial Advisors
Keith Springer (CRD# 1529083) is an Investment Advisor Representative working at Springer Financial Advisors in Sacramento, CA and has over 33 years of experience in the finance industry.
Clarion Advisors Inc.
Adams Ashby Financial Advisors
Three Oaks Capital Management
|Springer Investment Management||Sacramento, CA||Jan 1997 - Current||22|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1986|
|S65||NASAA Investment Advisors Law Examination||Jul 1993|
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:
- Employer Dispute
- Customer Dispute
- Regulatory Event
Total Assets Under Management191MILLIONS
Total Number of Accounts847ACCOUNTS
Average Account Value$226,087
- A percentage of assets under your management
- Hourly charges
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
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