Keith France is a registered investment advisor, based in San Jose, CA, with 26 years of industry experience. Keith is also registered as a broker, so some compensation may come from commissions on products sold.
Location
5615 Chesbro Avenue, San Jose, CA, 95123
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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2019Closed-No Action
Customer Dispute
July 2016Settled
Customer Dispute
January 2008Settled
Employment History
Current Registrations
Cetera Investment Services LLCBroker
April 2019 - Present · 7 yrs 6 mos
Cetera Investment Advisers LLC
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
BMO Harris Financial Advisors, INC
August 2012 - March 2019 · 6 yrs 7 mos
BMO Harris Financial Advisors, INC.Broker
August 2012 - March 2019 · 6 yrs 7 mos
M&i Financial Advisors, INC.
April 2012 - August 2012 · 4 mos
M&i Investment Management CORP.
April 2010 - April 2012 · 2 yrs
M&i Financial Advisors, INC.
February 2009 - March 2010 · 1 yr 1 mo
M&i Financial Advisors, INCBroker
August 2008 - August 2012 · 4 yrs
Primevest Financial Services, INC.
May 2007 - July 2008 · 1 yr 2 mos
Primevest Financial Services, INC.Broker
May 2007 - July 2008 · 1 yr 2 mos
Morgan Keegan & Company, INC.Broker
July 2004 - April 2007 · 2 yrs 9 mos
Morgan Keegan & Company, INC.
July 2004 - April 2007 · 2 yrs 9 mos
Union Planters Investment Advisors, INC.
October 2003 - August 2004 · 10 mos
Pfic Securities CorporationBroker
April 2003 - August 2004 · 1 yr 4 mos
Charles Schwab & CO., INC.Broker
March 2000 - December 2002 · 2 yrs 9 mos
State Registrations14 states
AZCACOFLHIIDILINNVNYORSCTXWA
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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