Keith Kasowski
Compliance Analyst at NEXT Financial Group, Inc. | Greater Houston
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Keith Kasowski serves as a Compliance Analyst at NEXT Financial Group, Inc., where he leverages his extensive background in the investment management and financial services sectors to ensure adherence to regulatory standards and internal policies. With a keen eye for detail and a forward-thinking approach, Keith is responsible for reviewing, creating, and documenting compliance reports that address irregular trading activities, suspicious behaviors, and unusual trading patterns. His role is critical in identifying potential compliance issues that may require further investigation, thereby safeguarding the integrity of the firm’s operations.
In addition to his core responsibilities, Keith manages compliance reports related to options trading, social media interactions, and alternative investments, ensuring that all activities align with industry regulations. His expertise in financial analysis and modeling enables him to provide insightful assessments that inform decision-making processes within the firm. Keith also plays a pivotal role in addressing compliance-related inquiries from Associated Persons, demonstrating his commitment to fostering a culture of compliance and transparency.
His proficiency in Series 7 and Series 63 licenses, combined with his skills in portfolio management and retirement planning, positions him as a valuable asset to NEXT Financial Group. As the financial landscape continues to evolve, Keith remains dedicated to enhancing compliance protocols and adapting to new regulatory challenges, ensuring that the firm not only meets but exceeds industry standards. His multidisciplinary experience and analytical mindset make him a key player in navigating the complexities of compliance in the financial services industry.
Compliance Analyst at NEXT Financial Group, Inc. in May 2015 to Present
Senior Analyst - Investment Management at Hines | HMS Income Fund Inc. in June 2014 to February 2015
Internal Sales Consultant at Hines Securities, Inc. in January 2012 to June 2014
Regional Marketing Representative at Capstone Asset Management Company in May 2011 to November 2011
Regional Marketing Coordinator at Pacific Life in September 2008 to February 2010
Licensed Financial Specialist, Officer at Wachovia, A Wells Fargo Company in August 2005 to September 2008
Senior Internal Wholesaler at Invesco US/ AIM Investments in September 1998 to June 2005
Pension Analyst at AIG American General-Variable Annuity Life Insurance Corporation in November 1997 to September 1998
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University of Houston, C.T. Bauer College of Business, MBA, September 2026
University of Houston, C.T. Bauer College of Business, B.B.A., September 1987 to September 1992
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Series 7
Investments
Mutual Funds
Portfolio Management
Finance
Financial Analysis
Series 63
Retirement Planning
Management
Alternative Investments
Financial Modeling
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Discover more about NEXT Financial Group, Inc.What is Keith Kasowski email address?
Email Keith Kasowski at [email protected] and [email protected]. This email is the most updated Keith Kasowski's email found in 2026.
What is Keith Kasowski phone number?
Keith Kasowski phone number is +12814603920.
How to contact Keith Kasowski?
To contact Keith Kasowski send an email to [email protected] or [email protected]. If you want to call Keith Kasowski try calling on +12814603920. (updated on September 03, 2024)
What company does Keith Kasowski work for?
Keith Kasowski works for NEXT Financial Group, Inc.
What is Keith Kasowski's role at NEXT Financial Group, Inc.?
Keith Kasowski is Compliance Analyst
What industry does Keith Kasowski work in?
Keith Kasowski works in the Investment Management industry.
Keith Kasowski Email Addresses
Keith Kasowski Phone Numbers
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