JO
John C. O'keeffe
KESTRA ADVISORY SERVICES
Fairfield, NJ 07004
Some features on this profile are disabled
CRD#: 1163872
JO
Professional summary
John Charles O'keeffe, who also goes by John Charles Okeeffe, John Okeeffe, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fairfield, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Fairfield, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Charles Okeeffe | John Okeeffe
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 10/14/2020 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Finacial AdvisoryBusiness Name: O'Keeffe Financial Partners LLC Investment Related: Yes Address: 100 Passaic Ave., Suite 100A Fairfield NJ 07004 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Owner and Financial Advisor Start Date: 2/12/2009 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Wealth Manager and Financial Advisor Business Name: CAPITAS FINANCIAL LLC POSITION: Independent Contractor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/12/2009 ADDRESS: 135 Route 202/206, Bedminster NJ 07921, United States DESCRIPTION: Independent Contractor for Life Insurance Business Name: O'KEEFFE HOLDINGS LLC POSITION: Managing Member NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/21/2023 ADDRESS: 8 Wheeler Road, Wayne NJ 07470 DESCRIPTION: Ownership and management of rental property.
CRS (Client Relationship Summary) - RIA
Click below to view John Charles O'keeffe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 10, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 100 Passaic Ave Suite 100a, Fairfield, NJ 07004RIA
CRD#: 283330
Fairfield, NJ
Current
October 14, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 100 Passaic Ave, Fairfield, NJ 07004BD
CRD#: 42046
Fairfield, NJ
Past
February 23, 2009 - October 14, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
FAIRFIELD, NJ
Past
February 12, 2009 - October 14, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FAIRFIELD, NJ
Past
May 8, 2002 - March 5, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WAYNE, NJ
Past
May 3, 1999 - March 5, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WAYNE, NJ
Past
February 8, 1989 - May 5, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
June 8, 1987 - February 21, 1989
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
August 24, 1983 - May 5, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/31/2024)
RR
California(10/14/2020)
RR
Florida(12/22/2020)
RR
Georgia(10/14/2020)
RR
Idaho(1/4/2024)
RR
Massachusetts(12/14/2020)
RR
Nebraska(1/19/2024)
RR
New Jersey(11/10/2020)
IAR
New Jersey(11/10/2020)
RR
New York(10/14/2020)
RR
North Carolina(11/13/2020)
RR
Ohio(10/14/2020)
RR
Pennsylvania(1/12/2024)
RR
South Carolina(9/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/22/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
