Patrick T. Keefe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patrick Taylor Keefe, who also goes by Patrick Keefe, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2007. Patrick had worked at 2 firms and has passed the Series 63, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2014 - March 10, 2014
TULLY & HOLLAND, INCORPORATED
October 11, 2007 - July 23, 2008
GUNNALLEN FINANCIAL, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TULLY & HOLLAND, INCORPORATED
CRD#: 30029 / SEC#: , 8-44691
Contact information
FINRA licenses (14 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TULLY, TIMOTHY WILLIAM | PRESIDENT, CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2779617 |
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.
