Harry A. Keener

KEENER INVESTMENTS

Naples, FL

CRD#: 2867155

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Professional summary

Harry Alan Keener is a registered financial advisor currently at KEENER INVESTMENTS located in Naples, Florida.

Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Harry has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Alan Keener'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®

None

Experience

Current

May 15, 2012 - Present

KEENER INVESTMENTS

RIA

CRD#: 117141

Naples, FL

Past

May 22, 1997 - November 12, 2001

WARFIELD ASSOCIATES, INC.

CRD#: 13774

NEW YORK, NY

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

Florida
(9/18/2017)

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: 10/6/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1997

General Securities Representative Examination

Current Firm

KEENER INVESTMENTS

KEENER INVESTMENTS | KEENER, HARRY ALAN

CRD#: 117141 / SEC#: 801-60725

RIA

Registered Investment Advisory firm - (6/25/2012 Terminated)

Florida

Registered Investment Advisory firm - (9/18/2017 Approved)

Massachusetts

Registered Investment Advisory firm - (11/20/2017 Terminated)

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

Naples, FL

Mailing Address

2401 Gulf Shore Blvd. N Apt. 51, Naples, FL 34103

Phone number

(646) 593-2455

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 73,367,047

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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Harry A. Keener

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Alan Keener's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEENER INVESTMENTS

WARFIELD ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/2010

Series 63

Date: 6/10/1997

Series 7

Date: 5/21/1997

Current Firm

KEENER INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KEENER INVESTMENTS

TRUST BUT VERIFY

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