KF
KF
Keith Fosler is a registered investment advisor, based in Portland, ME, with 36 years of industry experience. Keith is also registered as a broker, so some compensation may come from commissions on products sold.
Location
15 Monument Square, 2nd Floor, Portland, ME, 04101
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Regulatory History (2)
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Employment Separation After Allegations
December 2006Customer Dispute
May 2004Closed-No Action
Other Business ActivitiesSells Insurance
Keith operates under the DBA Waypoint Financial, providing financial services and investment management, dedicating all of his time to this. He also sells fixed insurance, dedicating minimal time, and works as a notary, also dedicating minimal time.
Employment History
Current Registrations
Kovack Advisors, INC.
October 2014 - Present · 12 yrs
Kovack Securities INC.Broker
October 2014 - Present · 12 yrs
Previous Registrations
Cantella & CO., INC.
January 2007 - October 2014 · 7 yrs 9 mos
Cantella & CO., INC.Broker
January 2007 - October 2014 · 7 yrs 9 mos
Wachovia Securities, LLC
May 2001 - December 2006 · 5 yrs 7 mos
Wachovia Securities, LLCBroker
February 2001 - December 2006 · 5 yrs 10 mos
Advest, INC.Broker
June 1996 - March 2001 · 4 yrs 9 mos
Smith Barney INC.Broker
July 1993 - June 1996 · 2 yrs 11 mos
Lehman Brothers INC.Broker
July 1990 - July 1993 · 3 yrs
State Registrations16 states
CACOCTFLGALAMAMDMEMNNCNHNYPATNWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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