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Keith Aaron Douglas

United Asset Strategies Inc.

Garden City, NY

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Current Employers
United Asset Strategies Inc.

377 Oak Street Suite 403, Garden City, NY 11530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-12-02
  • NY RA
    APPROVED
    Since 2024-12-02

Branch Locations

377 Oak Street Suite 403, Garden City, NY 11530 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lantern Investments, Inc. Melville NY 02/2019 02/2022
Halliday Financial, Llc Glen Head NY 01/2016 03/2017
Foundation Source Fairfield CT 07/2016 02/2018
Peak Alliance, Inc. Apex NC 11/2015 08/2019
United Asset Strategies, Inc. Garden City NY 01/2024 Present
Convera New York NY 02/2022 12/2023
  • 02/2019 → 02/2022
    Lantern Investments, Inc.
    Melville, NY
  • 01/2016 → 03/2017
    Halliday Financial, Llc
    Glen Head, NY
  • 07/2016 → 02/2018
    Foundation Source
    Fairfield, CT
  • 11/2015 → 08/2019
    Peak Alliance, Inc.
    Apex, NC
  • 01/2024 → Present
    United Asset Strategies, Inc.
    Garden City, NY
  • 02/2022 → 12/2023
    Convera
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-12-02
S63 Uniform Securities Agent State Law Examination 1989-06-29
  • S65 Uniform Investment Adviser Law Examination
    2024-12-02
  • S63 Uniform Securities Agent State Law Examination
    1989-06-29

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC
BRIXTON CAPITAL WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
LESLIE MARIE GIORDANO

Other Investors

TIMOTHY J TASSO
DAWN MARIE EGGERS
DAVID BRIAN CARPENTIER
Alexander Oliner
JULIA BATTAGLIA
Sei il im
ELLEN M CHAN
Jesse M Silver

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

More in Garden City, NY

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