Keith Byron Banks

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2010 → 03/2017
  Metlife Securities Inc
  Brooklyn, NY
• 07/2016 → 05/2020
  Massachusetts Mutual Life Insurance Company
  Springfield, MA
• 03/2017 → 05/2020
  Mml Investors Services, Llc
  Brooklyn, NY
• 05/2020 → Present
  Lpl Financial Llc
  Valley Stream, NY

Previous Registrations

• 2017-03-25 → 2020-05-15
  Mml Investors Services, Llc
  Brooklyn, NY
• 2010-07-20 → 2017-03-25
  Msi Financial Services, Inc.
  Brooklyn, NY
• 2009-12-16 → 2010-02-12
  Chase Investment Services Corp.
  Brooklyn, NY
• 2007-05-29 → 2009-12-14
  Citigroup Global Markets Inc.
  Brooklyn, NY
  Brooklyn, NY
  Brooklyn, NY
  Brooklyn, NY
  Long Island City, NY
  Greenwich, CT
  Brooklyn, NY
• 2006-07-28 → 2007-05-29
  Citicorp Investment Services
  Brooklyn, NY
• 2005-06-13 → 2006-07-18
  Equitable Advisors, Llc
  New York, NY
  New York, NY

Other Businesses

1. 07/18/2022 - Charter Oak Financial - Investment Related - 229-19 Merrick Blvd. Laurelton NY 11413. - Non-Variable Insurance - Start Date - 07/15/2022 - 10 Hours Per Month/0 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2005-04-30
• S63 Uniform Securities Agent State Law Examination
  2002-09-06

Other Names

• Keith Byron Banks