Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 30, 2017 indicate that California-based Wunderlich Securities broker/adviser Robert Keller was terminated from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Keller (CRD# 2168444).
Robert Keller has spent 23 years in the securities industry and has been registered with Wunderlich Securities in Burlingame, California since July 2017. Previous registrations include Morgan Stanley in Beverly Hills, California; Merrill Lynch in San Mateo, California; Banc of America Investment Services in San Mateo, California; Merrill Lynch in San Mateo, California; Quick & Reilly in New York, New York; Wells Fargo Investments in San Francisco, California; Worldco in New York, New York; Raymond James & Associates in St. Petersburg, Florida; Prudential Securities in New York, New York; Nationssecurities; and Dean Witter Reynolds in Purchase, New York. He has passed eight securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); Series 7 (General Securities Representative Examination); Series 24 (General Securities Principal Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 10 (General Securities Sales Supervisor – General Module Examination).. He is a registered broker and investment adviser with six US states: California, Florida, Oregon, Pennsylvania, Washington and Wisconsin.
According to his BrokerCheck report, Robert Keller was terminated from a former employer in connection to alleged rule violations.
In July 2017, he was discharged from his position at Morgan Stanley Smith Barney following allegations “involving trades in low-priced securities, including inaccurately designating some of the trades as unsolicited, and his communications about them.’
If you or someone you know has a complaint regarding Robert Keller, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.