KEATS, CONNELLY AND ASSOCIATES, LLC
Legal name: KEATSCONNELLY
CRD #148884 SEC #801-69866 PHOENIX, AZ 602-955-5007
SEC Registered
Total AUM
--
Discretionary
--
Employees
2
Clients
11
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 22, 2020
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDRUS, BRYANT, ELIAS | I | PRESIDENT | NA | Control |
| ANDRUS, BRYANT, ELIAS | I | PRESIDENT | NA | Control |
| ANDRUS, BRYANT, ELIAS | I | PRESIDENT | NA | Control |
| ANDRUS, BRYANT, ELIAS | I | PRESIDENT | NA | Control |
| KEATS, ROBERT, FRANCIS | I | CEO/CCO | NA | Control |
| KEATS, ROBERT, FRANCIS | I | CEO/CCO | NA | Control |
| KEATS, ROBERT, FRANCIS | I | CEO/CCO | NA | Control |
| LEVINE, DAVID, HARVEY | I | INVESTMENT ADVISOR REPRESENATATIVE | NA | Control |
| LEVINE, DAVID, HARVEY | I | INVESTMENT ADVISOR REPRESENATATIVE | NA | Control |
| LEVINE, DAVID, HARVEY | I | INVESTMENT ADVISOR REPRESENATATIVE | NA | Control |
| LEVINE, DAVID, HARVEY | I | INVESTMENT ADVISOR REPRESENATATIVE | NA | Control |
| RICE, JOHN, EDWARD | I | CIO | NA | Control |
| RICE, JOHN, EDWARD | I | CIO | NA | Control |
| RICE, JOHN, EDWARD | I | CIO | NA | Control |
| RICE, JOHN, EDWARD | I | CIO | NA | Control |
| RICE, JOHN, EDWARD | I | CIO | NA | Control |
| TAYLOR, SALLY, ANN | I | CEO | NA | Control |
| TAYLOR, SALLY, ANN | I | CEO | NA | Control |
| TAYLOR, SALLY, ANN | I | CEO | NA | Control |
| TAYLOR, SALLY, ANN | I | CEO | NA | Control |
| TAYLOR, SALLY, ANN | I | CEO | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, DALE, ALLEN | I | CHAIRMAN | NA | Control |
| WALTERS, DALE, ALLEN | I | CHAIRMAN | NA | Control |
| WALTERS, DALE, ALLEN | I | CHAIRMAN | NA | Control |
| WALTERS, DALE, ALLEN | I | CHAIRMAN | NA | Control |
| ZIENTY, DONALD, MATTHEW | I | CHIEF COMPLIANCE OFFICER | NA | |
| ZIENTY, DONALD, MATTHEW | I | CCO | NA | |
| ZIENTY, DONALD, MATTHEW | I | CHIEF COMPLIANCE OFFICER | NA | |
| ZIENTY, DONALD, MATTHEW | I | CCO | NA | |
| ZIENTY, DONALD, MATTHEW | I | CCO | NA | |
| ZIENTY, DONALD, MATTHEW | I | CCO | NA | |
| ZIENTY, DONALD, MATTHEW | I | CCO | NA | |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
| KEATS CONNELLY AND ASSOCIATES INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| KEATS, ROBERT, FRANCIS | I | KEATS CONNELLY AND ASSOCIATES INC. | F | Control |
| KEATS, ROBERT, FRANCIS | I | KEATS CONNELLY AND ASSOCIATES INC. | F | Control |
| KEATS, ROBERT, FRANCIS | I | KEATS CONNELLY AND ASSOCIATES INC. | F | Control |
Registrations
Federal
IA
May 22, 2020 REGISTERED
Notice Filings (7)
AZ CA FL MI NY TX WA
Address
3336 N. 32ND STREETSUITE 100
PHOENIX, AZ 85018-6241
United States
Phone: 602-955-5007