JK
Jo Anne Keck
CWA ASSET MANAGEMENT GROUP
New Orleans, LA 70163
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CRD#: 4709320
JK
Professional summary
Jo Anne Keck is a registered financial advisor currently at CWA ASSET MANAGEMENT GROUP located in New Orleans, Louisiana and STONEHAVEN, LLC located in New York, New York.
Jo Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jo Anne has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 55 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) Keck & Co. - Investment Related - Founder - sourcing and selling suitable private investment offerings to qualified investors. I also provide recruiting services for hedge funds and occasionally consult on oil and gas opportunities and real estate opportunities including development of projects and purchase agreements. Ms. Keck's duties as the Founder of Keck & Co. do not create a conflict of interest to her provision of advisory services through CWA as Ms. Keck will not be soliciting any of CWA client's involvement in these projects. 4 hours per month, 0 hours per trading hours. Relationship with Keck and Co. began 7/1/2017. 2) CWA ASSET MANAGEMENT GROUP - Investment Related - VP of Private Wealth management - Ms. Keck is an investment advisor who manages personal assets for her retail clients. Approx 160 hours/month
CRS (Client Relationship Summary) - RIA
Click below to view Jo Anne Keck'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
January 17, 2023 - Present
CWA ASSET MANAGEMENT GROUP
Office #1: 1100 Poydras Street Suite 1900, New Orleans, LA 70163RIA
CRD#: 158940
New Orleans, LA
Current
December 21, 2024 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020BD
CRD#: 118913
NEW YORK, NY
Past
February 2, 2022 - December 31, 2022
SP SECURITIES LLC
BD
CRD#: 130560
HOUSTON, TX
Past
May 27, 2020 - January 10, 2023
DUMAINE INVESTMENTS LLC
RIA
CRD#: 306481
NEW ORLEANS, LA
Past
July 18, 2019 - December 5, 2019
STONEHAVEN, LLC
BD
CRD#: 118913
NEW YORK, NY
Past
September 6, 2016 - September 6, 2018
KLR GROUP, LLC
BD
CRD#: 165586
HOUSTON, TX
Past
June 18, 2013 - June 16, 2016
IBERIA CAPITAL PARTNERS L.L.C.
BD
CRD#: 152766
NEW ORLEANS, LA
Past
September 7, 2011 - October 31, 2011
GLOBAL HUNTER SECURITIES, LLC
BD
CRD#: 123003
NEW YORK, NY
Past
November 30, 2006 - March 19, 2007
PACIFIC CENTURY SECURITIES, LLC
BD
CRD#: 131607
NEW YORK, NY
Past
August 5, 2004 - October 18, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
CA
CWA ASSET MANAGEMENT GROUP
BLUEHARBOR WEALTH ADVISORS | CWA ASSET MANAGEMENT GROUP, LLC | CWA ASSET MANAGEMENT GROUP | CAPITAL WEALTH ADVISORS
CRD#: 158940 / SEC#: 801-79715
RIA
Registered Investment Advisory firm - (5/22/2014 Approved)Florida
Registered Investment Advisory firm - (5/23/2014 Terminated)Nebraska
Registered Investment Advisory firm - (5/23/2014 Terminated)North Carolina
Registered Investment Advisory firm - (5/23/2014 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Louisiana(1/17/2023)
RR
Louisiana(12/21/2024)
IAR
New York(1/18/2023)
RR
New York(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/9/2006
Limited Representative-Equity Trader ExamSRO Registrations
RR
FINRA
Current Firm
CA
CWA ASSET MANAGEMENT GROUP
BLUEHARBOR WEALTH ADVISORS | CWA ASSET MANAGEMENT GROUP, LLC | CWA ASSET MANAGEMENT GROUP | CAPITAL WEALTH ADVISORS
CRD#: 158940 / SEC#: 801-79715
RIA
Registered Investment Advisory firm - (5/22/2014 Approved)Florida
Registered Investment Advisory firm - (5/23/2014 Terminated)Nebraska
Registered Investment Advisory firm - (5/23/2014 Terminated)North Carolina
Registered Investment Advisory firm - (5/23/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9130 Galleria Court Third Floor, Naples, FL 34109
Mailing Address
Phone number
(239) 434-7434
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,702 |
| AUM (Assets Under Management) | $ 4,065,327,201 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/05/2025 | ||
| 12/20/2024 | ||
| 10/13/2023 | ||
| 12/09/2022 |
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.
Company Information
CWA ASSET MANAGEMENT GROUP
CRD#: 158940New Orleans, LA 70163TRUST BUT VERIFY
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