Dennis J. O'keefe

SUCCESSFUL MONEY STRATEGIES

FALL RIVER, MA 02720

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CRD#: 2217691

Professional summary

Dennis Jude O'keefe, CFP®, who also goes by Dennis Jude Okeefe, is a registered financial advisor currently at SUCCESSFUL MONEY STRATEGIES INC located in Fall River, Massachusetts.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Dennis has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis Jude Okeefe

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.

NAME OF OBA: DENNIS J. O'KEEFE; ADDRESS OF OBA: TAUNTON, MA 02780; NATURE: RESIDUAL INSURANCE COMMISSIONS; INVESTMENT RELATED: NO; TITLE WITH OBA: INSURANCE AGENT; DUTIES: COLLECT RESIDUAL INSURANCE COMMISSIONS. FACILITATE CONTACT BETWEEN CLIENTS AND INSURANCE COMPANIES; START DATE: 5/1/1992 APPROX. NUMBER OF HOURS/MONTH: <1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: <1

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Jude O'keefe's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

October 26, 2004 - Present

SUCCESSFUL MONEY STRATEGIES INC

Office #1: 10 North Main Street, Fall River, MA 02720

RIA

CRD#: 109829

FALL RIVER, MA

Past

September 30, 1993 - June 13, 1995

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

March 2, 1993 - September 30, 1993

G.R. STUART & COMPANY, INC.

CRD#: 29101

MAYNARD, MA

Past

April 15, 1992 - March 6, 1993

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

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".

SUCCESSFUL MONEY STRATEGIES INC

CRD#: 109829 / SEC#: 801-43656

RIA

Registered Investment Advisory firm - (4/12/1993 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(10/26/2004)

IAR

Texas
(8/27/2024)

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

IAR

Series 65

Date: 6/11/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/13/1992

General Securities Representative Examination

Current Firm

SUCCESSFUL MONEY STRATEGIES INC

CRD#: 109829 / SEC#: 801-43656

RIA

Registered Investment Advisory firm - (4/12/1993 Approved)

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Contact information

Main Address

10 North Main Street, Fall River, MA 02720

Mailing Address

Phone number

(508) 730-2300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

01 29 2025 SMS FORM ADV PART 2A AND 2B FINAL (1/29/2025)

Regulatory assets under management

Total Number of Accounts	725
AUM (Assets Under Management)	$ 199,133,000

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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Dennis J. O'keefe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Jude O'keefe's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUCCESSFUL MONEY STRATEGIES INC

COMMONWEALTH FINANCIAL NETWORK

G.R. STUART & COMPANY, INC.

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

SUCCESSFUL MONEY STRATEGIES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/11/1993

Series 63

Date: 4/16/1992

Series 7

Date: 4/13/1992

Current Firm

SUCCESSFUL MONEY STRATEGIES INC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUCCESSFUL MONEY STRATEGIES INC

TRUST BUT VERIFY

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