AP
Anthony J. Pozzi
KEATING FINANCIAL ADVISORY SERVICES | Financial Advisor
ROCKFORD, IL 61107
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CRD#: 2577881
AP
Professional summary
Anthony John Pozzi is a registered financial advisor currently at KEATING FINANCIAL ADVISORY SERVICES located in Rockford, Illinois.
Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Anthony has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1)QCR Holdings, Inc. Address: Rockford, IL Nature of the Business: Other (unpaid) Position/Title: Finance Committee Member Investment Related:Yes Start Date: 01/01/2016 Hours per month devoted to this business: 1.25 Hours per month devoted to this business during trading hours: 1.25 Description of duties: Attend meetings, vote on actions. 2)Name of Business : Keating & Associates Address: 1639 N Alpine Rd Ste 103,Rockford, IL Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Advisor Investment Related:No Start Date: 11/15/2019 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Rep in Charge
CRS (Client Relationship Summary) - RIA
Click below to view Anthony John Pozzi'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
May 9, 2025 - Present
KEATING FINANCIAL ADVISORY SERVICES
Office #1: 1639 N Alpine Road Suite 103, Rockford, IL 61107RIA
CRD#: 142772
ROCKFORD, IL
Past
January 2, 2009 - July 1, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ROCKFORD, IL
Past
July 10, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
ROCKFORD, IL
Past
July 9, 2007 - July 1, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ROCKFORD, IL
Past
January 16, 2003 - February 2, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
ROCKFORD, IL
Past
December 9, 2002 - February 2, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ROCKFORD, IL
Past
September 22, 1997 - December 12, 2002
HOWARD WEIL INCORPORATED
RIA
CRD#: 30958
ROCKFORD, IL
Past
July 25, 1997 - December 12, 2002
HOWARD WEIL INCORPORATED
BD
CRD#: 30958
NEW ORLEANS, LA
Past
January 24, 1995 - August 26, 1997
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
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".
KF
KEATING FINANCIAL ADVISORY SERVICES
CONVERSE TEAM | WEDDLE TEAM | STEADFAST WEALTH GROUP | PURPOSEFUL WEALTH ADVISORS | PISCES WEALTH TEAM | KEATING KC | KEATING FINANCIAL ADVISORY SERVICES, INC. | KEATING FINANCIAL ADVISORY SERVICES, INC | KEATING FINANCIAL ADVISORY SERVICES | KEATING & ASSOCIATES | HILLSIDE WEALTH | FIRESIDE WEALTH PLANNING SOLUTIONS
CRD#: 142772 / SEC#: 801-126770
RIA
Registered Investment Advisory firm - (10/21/2022 Approved)Illinois
Registered Investment Advisory firm - (1/20/2023 Terminated)Kansas
Registered Investment Advisory firm - (1/20/2023 Terminated)Missouri
Registered Investment Advisory firm - (12/4/2015 Terminated)Nebraska
Registered Investment Advisory firm - (4/26/2012 Terminated)Texas
Registered Investment Advisory firm - (1/20/2023 Terminated)Washington
Registered Investment Advisory firm - (12/10/2021 Terminated)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
Illinois(5/9/2025)
IAR
Texas(5/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
KF
KEATING FINANCIAL ADVISORY SERVICES
CONVERSE TEAM | WEDDLE TEAM | STEADFAST WEALTH GROUP | PURPOSEFUL WEALTH ADVISORS | PISCES WEALTH TEAM | KEATING KC | KEATING FINANCIAL ADVISORY SERVICES, INC. | KEATING FINANCIAL ADVISORY SERVICES, INC | KEATING FINANCIAL ADVISORY SERVICES | KEATING & ASSOCIATES | HILLSIDE WEALTH | FIRESIDE WEALTH PLANNING SOLUTIONS
CRD#: 142772 / SEC#: 801-126770
RIA
Registered Investment Advisory firm - (10/21/2022 Approved)Illinois
Registered Investment Advisory firm - (1/20/2023 Terminated)Kansas
Registered Investment Advisory firm - (1/20/2023 Terminated)Missouri
Registered Investment Advisory firm - (12/4/2015 Terminated)Nebraska
Registered Investment Advisory firm - (4/26/2012 Terminated)Texas
Registered Investment Advisory firm - (1/20/2023 Terminated)Washington
Registered Investment Advisory firm - (12/10/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1011 Poyntz Avenue, Manhattan, KS 66502
Mailing Address
Phone number
(785) 537-0366
Established
Firm type
Fiscal year end
# of Employees
65
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 250 |
| AUM (Assets Under Management) | $ 330,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KEATING FINANCIAL ADVISORY SERVICES
Financial AdvisorCRD#: 142772Rockford, IL 61107TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
