Keith M. Fiala

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2023-03-28
TX	RA	APPROVED	2023-03-28

Branch Locations

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

Organization	City	State	From	To
J.P. Morgan Securities Llc	Fairfield	CT	06/2015	05/2019
Cetera Advisor Networks Llc	El Segundo	CA	05/2019	11/2019
Unemployed	Wallingford	CT	01/2020	02/2020
Webster Bank	Ridgefield	CT	03/2020	09/2022
Lpl Financial Llc	Ridgefield	CT	03/2020	03/2023
J.P. Morgan Securities Llc	Southport	CT	03/2023	Present
Jpmorgan Chase Bank, N.A.	Southport	CT	03/2023	Present
Cwm, Llc	Omaha	NE	05/2019	12/2019
Frg Holdings ( Lpbd)	Ridgefield	CT	01/2022	03/2023
Webster Investments	Ridgefield	CT	04/2020	03/2023
Jpmorgan Chase Bank, N.A.	Fairfield	CT	06/2015	05/2019

2020-03-09 → 2023-04-10

Lpl Financial Llc

Ridgefield, CT

Westport, CT

Fairfield, CT

Fairfield, CT

New Haven, CT

Naugatuck, CT

Bridgeport, CT

Bethany, CT
2019-05-02 → 2019-12-02

Cwm, Llc

Cheshire, CT

Milldale, CT
2015-06-19 → 2019-05-16

J.P. Morgan Securities Llc

Fairfield, CT

Ridgefield, CT
2013-07-03 → 2015-06-11

Wells Fargo Clearing Services, Llc

Melville, NY

New Canaan, CT

Purchase, NY
2010-02-01 → 2013-06-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Darien, CT
2004-08-19 → 2010-02-11

Charles Schwab & Co., Inc.

Stamfort, CT

Stamford, CT

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-06-06
S63	Uniform Securities Agent State Law Examination	2003-06-05

Other Firms