Keith J Apton

Current Employers

Employment History

• 01/2009 → Present
  Ubs Financial Services Inc
  Washington, DC

Previous Registrations

• 2007-04-02 → 2009-01-21
  Morgan Stanley & Co. Llc
  Washington, DC
• 2002-05-14 → 2007-04-02
  Morgan Stanley Dw Inc.
  Washington, DC
  Washington, DC

Other Businesses

1)HILL AND DALE, LLC / 2001 15TH STREET APARTMENT 711 ARLINGTON, VA 22201 / OTHER / REAL ESTATE / PERSONAL FAMILY REAL ESTATE / PARTNER / CHECK THE FENCES AT THE FARM / POTENTIAL DEALINGS WITH UBS: NO /START DATE 09/29/2010. 2)PACIFIC PHARMACY GROUP / 26300 LA ALAMEDA, SUITE 120 MISSION VIEJO CALIFORNIA 92691 / COMPANY / HEALTH CARE & PHARMACEUTICALS / DISTRIBUTION OF PHARMACEUTICAL DRUGS / MEMBER OF BOARD OF DIRECTORS / QUARTERLY MEETINGS TO DISCUSS BUSINESS DECISIONS / START DATE 10/20/2011. 3)THE ESOP ASSOCIATION / 1726 M STREET NW WASHINGTON, DC DISTRICT OF COLUMBIA 20036 / ASSOCIATION (I.E., TRADE OR INDUSTRY, SPORT...) / FINANCIAL (CONSUMER & INVESTMENT SERVICES) / TO EDUCATE COMMUNITY ON EMPLOYEE OWNERSHIP OF PRIVATELY HELD BUSINESSES / OTHER MEMBER OF THE FINANCE COMMITTE / I SIT ON A ROUNDTABLE WITH OTHER PROFESSIONALS AROUDN THE COUNTRY TO ENGAGE IN CONVERSATIONS REGARDING WHAT IS GOING ON IN THE ESOP COMMUNITY AS IT PERTAINS TO LENDING, INTEREST RATES, AND QUESTIONS REGARDING THE ESOP OWNED COMPANIES / START DATE 01/01/2011. 4)NCEO / Promoting Employee Ownership, Co-authoring a chapter of a book, 1629 Telegraph Ave, Suite 200 Oakland,CA 94612 / No/ Non Profit / USD / No / No / / Start Date 5/12/16 / 5)Patriot Farmrs of America / 80 Central Park West Atp 25F New York,NY 10023 / Member of Board of Directors / provide guidance of projects / Start Date 7/10/2015 6) AMAA / 222 N. LaSalle Street Chicago,IL 60601 / Association (i.e., Trade or Industry, Sport...)/ Banking (Retail, Investment, Merchant) / information sharing amontst individuals within the M&A industry / Other / member / sponsoring events and networking / Start Date 05/02/2016 / 7) Kory K. Apton Irrevocable Trust Agreement f/b/o Jackson P. Griffin dated December 16, 2011/ investment related?: yes/ New York, New York 10023/ Estate Planning / Trust/ start date: 12/16/2011/ Make sure best interests are adhered to. 8) Kory K. Apton Irrevocable Trust Agreement f/b/o Riley Ray Griffin dated December 16, 2011/ investment related?: yes/ New York, New York 10023/ To do what's in the best interest of the trust per my sisters and brother-in laws wishes./ start date: 12/16/2011 9) NAME OF OTHER BUSINESS: Exit Planning Institute / INVESTMENT RELATED?: No / ADDRESS: 27881 Clemens Road Suite #1, Westlake, OH / NATURE OF THE BUSINESS: ? Speaking engagement - Overview of Employee Stock Ownership Plans as a means of an exit strategy. Materials have been prepared by the institute. Participate in Thought Leadership Council to discuss various exit strategies and brainstorm with others on the Council. / POSITION: Speaker / DUTIES: give presentations / START DATE: 6-18-2018 / HOURS DEVOTED TO BUSINESS: NA 10)Keith Apton, Virginia United States ,Buying real estate as an investment in single name. At a later date intend to move into an LLC (will disclose prior to transferring to LLC to get permission once LLC is established) Real Estate investment property real estate , I want to own the real estate as a long term investor ,Start date 5/21/2026

Exams

• S66 Uniform Combined State Law Examination
  2002-04-26