Keith Curtis: Aegis Advisor Barred by FINRA

Former Tampa, Florida financial advisor Keith Curtis (CRD# 4798755) was recently sanctioned by FINRA and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Aegis Capital.

Mr. Curtis’s BrokerCheck report discloses the FINRA sanction against him. Filed in November 2023, it states that he refused to provide on-the-record testimony requested by FINRA during an investigation “into his potential conversion of funds.” As a Letter of Acceptance, Waiver, and Consent explains, FINRA Rule 8210 empowers FINRA to require persons under its jurisdiction to provide testimony with respect to matters under its investigation. The same rule stipulates that such persons may not “fail to provide information or testimony” requested under it. According to the Letter, FINRA also found that he violated FINRA Rule 2010, which stipulates that persons under FINRA’s jurisdiction must “observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business.”

In connection with Mr. Curtis’s refusal to provide testimony as requested, FINRA permanently barred him from registering with any member firm in any capacity. He did not admit to or deny the findings, but he did consent to their entry and to the bar.

A second disclosure on Mr. Curtis’s BrokerCheck report concerns a pending criminal charge against him. Filed in the Florida Circuit Court of the Twelfth Judicial Circuit, it alleges one count of “Larceny Grand Theft 10k less than 20k.” He pleaded not guilty to the pending charge.

According to the Financial Industry Regulatory Authority, Keith Curtis holds 17 years of securities industry experience. He was most recently registered as a broker with Aegis Capital in Tampa, Florida from 2015 until 2022. His registration history includes JHS Capital Advisors (Sarasota, Florida; 2010-2015), Gunnallen Financial (Sarasota, Florida; 2008-2010), Morgan Stanley & Company (Sarasota, Florida; 2007-2008), Morgan Stanley DW (Sarasota, Florida; 2005-2007), and Thrivent Investment Management. His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is currently barred from acting as a broker. (Information current as of January 18, 2024.)

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