Thomas M. Keating

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CRD#: 736904

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.

Thomas Michael Keating JR was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 1, 2016 - January 12, 2018

DENALI WEALTH MANAGEMENT, INC.

RIA

CRD#: 153323

MILWAUKEE, WI

Past

May 7, 2010 - October 21, 2015

FIRST HEARTLAND CONSULTANTS, INC.

RIA

CRD#: 110377

GLENDALE, WI

Past

May 4, 2010 - October 21, 2015

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

GLENDALE, WI

Past

November 3, 2004 - May 6, 2010

KCD FINANCIAL, INC.

RIA

CRD#: 127473

GLENDALE, WI

Past

October 19, 2004 - May 6, 2010

KCD FINANCIAL, INC.

CRD#: 127473

GLENDALE, WI

Past

December 14, 2000 - September 30, 2004

COORDINATED CAPITAL SECURITIES, INC.

CRD#: 14762

FORT ATKINSON, WI

Past

December 14, 1999 - May 4, 2000

WELLINGTON INVESTMENT SERVICES CORP.

CRD#: 23018

BROOKFIELD, WI

Past

April 30, 1986 - December 14, 1999

COORDINATED CAPITAL SECURITIES, INC.

CRD#: 14762

FORT ATKINSON, WI

Past

November 16, 1984 - September 17, 1986

G. R. PHELPS & CO., INC.

CRD#: 173

Past

July 27, 1981 - December 11, 1984

NEW ENGLAND SECURITIES

CRD#: 615

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".

DENALI WEALTH MANAGEMENT, INC.

CRD#: 153323 / SEC#: 801-71260

RIA

Registered Investment Advisory firm - (3/29/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/2/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/21/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/22/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/23/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DENALI WEALTH MANAGEMENT, INC.

CRD#: 153323 / SEC#: 801-71260

RIA

Registered Investment Advisory firm - (3/29/2010 Approved)

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Contact information

Main Address

1325 W Towne Square Road, Mequon, WI 53092-5047

Mailing Address

Phone number

(414) 978-0020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2 (2/19/2025)

Regulatory assets under management

Total Number of Accounts	376
AUM (Assets Under Management)	$ 182,964,000

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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Advisor Monitoring

Firm Stability Insights

Thomas M. Keating

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND CAPITAL, INC.

KCD FINANCIAL, INC.

KCD FINANCIAL, INC.

COORDINATED CAPITAL SECURITIES, INC.

WELLINGTON INVESTMENT SERVICES CORP.

COORDINATED CAPITAL SECURITIES, INC.

G. R. PHELPS & CO., INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

DENALI WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/2010

Series 63

Date: 6/23/1981

SIE

Date: 10/21/2015

Series 7

Date: 9/21/1985

Series 22

Date: 10/22/1984

Series 6

Date: 7/23/1981

Current Firm

DENALI WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DENALI WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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