Kevin M Keefe, CFA Expert Witness

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Specialties & Experience

General Specialties: Financial and Securities & Investments

Specialty Focus: Due Diligence, Investment Products, Investment Research, Investment Manager, Mutual Funds, Suitability, Complex Products, Broker Dealer, SEC, Investment Advisor, FINRA, Employment Issues, Portfolio Management, Registered Representative, Investment Advisor Representative

Education: BS Business Administration Finance Concentration - Cum Laude, Suffolk University Sawyer School of Business

Years in Practice: 28+


Additional Information

Former CEO of First Allied Securities. Responsible for the development and implementation of the firm’s strategic direction as well as overseeing the day-to-day operation of an enterprise with $40B in assets under management, $300M in annual revenue, and supporting more than 700 financial advisors (FAs). Accomplished financial services executive. Extensive experience working with financial products and registered representatives/financial advisors. Has directly overseen the people and processes responsible for product due diligence within some of the largest independent broker dealers in the US. Prior to joining First Allied, served as Executive Vice President and head of Wealth Management for AIG Advisor Group, where served as CEO of the corporate RIA (Registered Investment and Advisor) and managed all investment research and due diligence, product, platform, and retirement plan functions within the broker/dealer network of 6,000 independent financial advisors. During five-year tenure at LPL Financial, which preceded AIG, had management responsibility for a number of areas of the firm including investment research, wealth management, financial planning, and sponsor relations departments. Has also held product and due diligence roles at leading US financial services firms including Fidelity Investments and New England Financial. Chartered Financial Analyst (CFA) charterholder since 1997.Active member of the CFA Institute. Licenses Held: Series 24 – General Securities Principal Series 7 – General Securities License Series 6 – Investment Company Products/Variable Contracts Representative Series 63 – Uniform Securities Agent State Law Examination Series 66 – Uniform Combined State Law Examination Completed SEAK expert witness training courses. Has testified in multiple FINRA Arbitrations.