Bruce M. Stiles

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CRD#: 1463079

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bruce Michael Stiles, CFP® was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1986. Bruce had worked at 9 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

September 24, 2013 - October 20, 2015

KEATS, CONNELLY & ASSOCIATES, INC

RIA

CRD#: 148884

PHOENIX, AZ

Past

February 5, 2010 - September 11, 2013

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

February 5, 2010 - September 11, 2013

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

May 13, 2008 - December 16, 2008

401(K) INVESTMENT SERVICES, INC.

CRD#: 31150

AUSTIN, TX

Past

December 5, 2006 - March 11, 2008

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

June 16, 2006 - December 5, 2006

NATIONWIDE INVESTMENT SERVICES CORPORATION

RIA

CRD#: 7110

PHOENIX, AZ

Past

September 22, 2005 - May 31, 2006

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

PHOENIX, AZ

Past

September 8, 2005 - May 31, 2006

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 12, 2005 - March 7, 2008

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

October 14, 2003 - December 31, 2004

WISE WORLD INVESTMENT PLANNING

RIA

CRD#: 116470

MESA, AZ

Past

April 28, 2003 - February 1, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

February 8, 2000 - May 1, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 9, 1986 - May 10, 1988

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/21/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/5/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/27/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/8/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEATS, CONNELLY & ASSOCIATES, INC

KEATS, CONNELLY & ASSOCIATES, INC | KEATSCONNELLY | KEATS, CONNELLY AND ASSOCIATES, LLC

CRD#: 148884 / SEC#: 801-69866

RIA

Registered Investment Advisory firm - (5/27/2020 Terminated)

Arizona

Registered Investment Advisory firm - (1/4/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3336 N. 32nd Street Suite 100, Phoenix, AZ 85018

Mailing Address

Phone number

(602) 955-5007

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Bruce M. Stiles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

401(K) INVESTMENT SERVICES, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

NATIONWIDE INVESTMENT SERVICES CORPORATION

WISE WORLD INVESTMENT PLANNING

SUNAMERICA SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/2005

Series 66

Date: 9/5/2001

Series 63

Date: 1/22/2000

Series 7

Date: 12/27/1999

Series 6

Date: 5/8/1986

Current Firm

KEATS, CONNELLY & ASSOCIATES, INC

Contact information

Documents

Red Flags

Company Information

KEATS, CONNELLY & ASSOCIATES, INC

TRUST BUT VERIFY

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