KEATS CONNELLY & ASSOCIATES INC.
CRD #110604 SEC #801-37742 PHOENIX, AZ 602-955-5007
SEC Registered
Total AUM
$207.9M
Discretionary
$201.1M
Employees
--
Clients
101
Accounts
315
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 21, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| RICE, JOHN, EDWARD | I | INVESTMENT OFFICER | NA | |
| RICE, JOHN, EDWARD | I | INVESTMENT OFFICER | NA | |
| TIBBETTS, WAYNE, ARTHUR | I | DIRECTOR OF TAX SERVICES | NA | |
| TIBBETTS, WAYNE, ARTHUR | I | DIRECTOR OF TAX SERVICES | NA | |
| TIBBETTS, WAYNE, ARTHUR | I | DIRECTOR OF TAX SERVICES | NA | |
| TIBBETTS, WAYNE, ARTHUR | I | DIRECTOR OF TAX SERVICES | NA | |
| TIBBETTS, WAYNE, ARTHUR | I | DIRECTOR OF TAX SERVICES | NA | |
| KEATS, ROBERT, FRANCIS | I | PRESIDENT, BOARD MEMBER | E | Control |
| KEATS, ROBERT, FRANCIS | I | PRESIDENT, BOARD MEMBER | E | Control |
| KEATS, ROBERT, FRANCIS | I | PRESIDENT | E | Control |
| KEATS, ROBERT, FRANCIS | I | PRESIDENT | E | Control |
| KEATS, ROBERT, FRANCIS | I | PRESIDENT, BOARD MEMBER | E | Control |
| KEATS, ROBERT, FRANCIS | I | PRESIDENT, BOARD MEMBER | E | Control |
| KEATS, ROBERT, FRANCIS | I | PRESIDENT, BOARD MEMBER | D | Control |
| CONNELLY, THOMAS, JOSEPH | I | PRESIDENT, BOARD MEMBER | C | Control |
| CONNELLY, THOMAS, JOSEPH | I | PRESIDENT, BOARD MEMBER | C | Control |
| KEATS, ROBERT, FRANCIS | I | VICE PRESIDENT, BOARD MEMBER | C | Control |
| KEATS, ROBERT, FRANCIS | I | VICE PRESIDENT, BOARD MEMBER | C | Control |
| WALTERS, DALE, ALLEN | I | CEO, CHIEF COMPLIANCE OFFICER, BOARD MEMBER | B | Control |
| WALTERS, DALE, ALLEN | I | CEO, CHIEF COMPLIANCE OFFICER, BOARD MEMBER | B | Control |
| WALTERS, DALE, ALLEN | I | CEO, CHIEF COMPLIANCE OFFICER | B | Control |
| WALTERS, DALE, ALLEN | I | CEO, CHIEF COMPLIANCE OFFICER | B | Control |
| WALTERS, DALE, ALLEN | I | CEO, CCO, BOARD MEMBER | B | Control |
| WALTERS, DALE, ALLEN | I | CEO, CHIEF COMPLIANCE OFFICER, BOARD MEMBER | B | Control |
| WALTERS, DALE, ALLEN | I | TREASURER, BOARD MEMBER | B | Control |
| WALTERS, DALE, ALLEN | I | TREASURER, BOARD MEMBER | B | Control |
| WALTERS, DALE, ALLEN | I | CEO, CCO, BOARD MEMBER | B | Control |
Registrations
Federal
IA
Feb 21, 2007 REGISTERED
Notice Filings (7)
AZ CA CO FL MI TX WA
Address
3336 NORTH 32ND STREETSUITE 100
PHOENIX, AZ 85018-6241
USA
Phone: 602-955-5007