Alton B. Raney

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CRD#: 1497403

Professional summary

Alton B Raney II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alton is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Alton had worked at 12 firms, which includes ST. BERNARD FINANCIAL SERVICES INC., LPL FINANCIAL LLC, KESTRA ADVISORY SERVICES LLC, KESTRA INVESTMENT SERVICES LLC, SWBC INVESTMENT COMPANY, SWBC INVESTMENT SERVICES LLC, EISNER SECURITIES INC., T. J. RANEY & SONS INC., T. J. RANEY & SONS INC. - BD, MORGAN KEEGAN & COMPANY LLC, L.A. BOYKIN & ASSOCIATES INC..

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®

None

Experience

Past

September 14, 2023 - May 16, 2024

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956

RUSSELLVILLE, AR

Past

December 13, 2018 - April 27, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

LITTLE ROCK, AR

Past

December 7, 2018 - April 27, 2023

LPL FINANCIAL LLC

CRD#: 6413

LITTLE ROCK, AR

Past

April 21, 2016 - December 10, 2018

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

LITTLE ROCK, AR

Past

January 18, 2011 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Little Rock, AR

Past

August 9, 2010 - December 10, 2018

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Little Rock, AR

Past

August 27, 2009 - February 4, 2010

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

August 27, 2009 - February 4, 2010

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

LITTLE ROCK, AR

Past

October 8, 2004 - November 30, 2009

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

LITTLE ROCK, AR

Past

October 8, 2004 - November 30, 2009

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

LITTLE ROCK, AR

Past

April 13, 1999 - November 9, 1999

EISNER SECURITIES, INC.

CRD#: 40585

ST. LOUIS, MO

Past

June 15, 1998 - December 14, 2009

T. J. RANEY & SONS, INC.

RIA

CRD#: 113508

LITTLE ROCK, AR

Past

October 6, 1993 - September 25, 2009

T. J. RANEY & SONS, INC. - BD

CRD#: 19243

LITTLE ROCK, AR

Past

May 8, 1989 - September 3, 1993

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

July 7, 1987 - May 8, 1989

T. J. RANEY & SONS, INC.

CRD#: 3128

Past

December 10, 1986 - June 11, 1987

T. J. RANEY & SONS, INC.

CRD#: 3128

Past

April 25, 1986 - December 11, 1986

L.A. BOYKIN & ASSOCIATES, INC.

CRD#: 15668

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".

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/27/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/10/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 9/11/1995

Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1609 West Main St., Russellville, AR 72801

Mailing Address

1609 West Main St., Russellville, AR 72801

Phone number

(479) 967-1200

Established

Arkansas since 03/24/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

109

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PT 2 02-01-2024 (1/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ROBERT KEENAN REVOCABLE TRUST	OWNER
CELI, MARK EDWARD	OPTIONS PRINCIPAL	1676074
DYER, SHARON JANE	ASSISTANT FINOP AND MUNI PRINCIPAL	1456415
KEENAN, ROBERT JR	CEO, CCO, TRUSTEE OF ROBERT KEENAN TRUST	2000976

Regulatory assets under management

Total Number of Accounts	841
AUM (Assets Under Management)	$ 130,472,570

Disclosures

Regulatory Event

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Alton B. Raney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

SWBC INVESTMENT COMPANY

SWBC INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

EISNER SECURITIES, INC.

T. J. RANEY & SONS, INC.

T. J. RANEY & SONS, INC. - BD

MORGAN KEEGAN & COMPANY, LLC

T. J. RANEY & SONS, INC.

T. J. RANEY & SONS, INC.

L.A. BOYKIN & ASSOCIATES, INC.

Primary Firm SEC Registration

ST. BERNARD FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/5/1986

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

Series 53

Date: 3/27/2007

Series 24

Date: 8/10/1999

Series 28

Date: 9/11/1995

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ST. BERNARD FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Contact information

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