JU
John L. Unice
KEELER THOMAS MANAGEMENT LLC
OREM, UT 84097
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CRD#: 868350
JU
Professional summary
John Leonard Unice, CFP® is a registered financial advisor currently at KEELER THOMAS MANAGEMENT LLC located in Orem, Utah.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
What are your service offerings?
Business Succession Planning
Employee and Employer Plan Ben...
Estate Planning
Comprehensive Financial Planni...
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. KEELER-THOMAS, INC, YES, 1327 SOUTH 800 EAST SUITE 100 OREM, UTAH 84097, OWNER-INSURANCE/INDEPENDENT RIA, 12/1987,15HRS/MONTH, 1HR DURING TRADING, CHAIRMAN OF THE INVESTMENT COMMITTEE, A CORPORATE OFFICER AND ONE OF THE SENIOR PLANNERS FOR FINANCIAL PLANNING. IN ADDITION, ANALYSIS, SALES OF LIFE, DISABILITY, POLICIES. 2. WHITE CLAW, LLC,NO, 1327 SOUTH 800 EAST SUITE 100 OREM, UTAH 84097,PARTNER,6/2003,1HR/MONTH,1HR DURING TRADING,FAMILY INVESTMENT PARTNERSHIP. 3. JJR, LLC, NO, 1327 SOUTH 800 EAST SUITE 100 OREM, UTAH 84097,PARTNER,6/2008,1HR/MON,0HRS DURING TRADING,SILENT PARTNER. 4. JACK'S WISDOM, LLC, NO, 1327 SOUTH 800 EAST SUITE 100 OREM, UTAH 84097,PARTNER,7/2008,4HRS/MON,1HR DURING TRADING,TECHNICAL CONSULTANT FOR AUTHORS OF FINANCIAL SELF-HELP MATERIALS 5. UTAH VALLEY UNIVERSITY PLANNED GIVING ADVISORY BOARD POSITION: Board Member NATURE: There is no structure. I have agreed to serve on an advisory board to the college. This advisory board is made up of members of the local professional and business community to advise the college regarding its strategic growth and raising funds as charitable bequests to grow the college's capacity. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2005 ADDRESS: 800 W. University Parkway, Orem UT 84058, United States DESCRIPTION: My responsibilities are to attend a quarterly board meeting, give input to the meeting based on the Dean's agenda. I also give input regarding the college's efforts to expand its offerings and raise money to fund scholarships. 6. KEELER THOMAS MANAGEMENT, LLC POSITION: Owner/Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 01/02/2017 ADDRESS: 1327 South 800 East Suite 100 Orem, Utah 84097, Orem UT 84097; DESCRIPTION: Analysis, Sales of life, disability, policies 7. KEELER THOMAS MANAGEMENT, LLC. POSITION: Owner/Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 6 START DATE: 01/02/2017 ADDRESS: 1327 South 800 East Suite 100 Orem, Utah 84097, Orem UT 84097; DESCRIPTION: I am the Chairman of the Investment Committee, a Managing Member and one of the senior planners for financial planning. 8. THUNDER BIOTECH POSITION: Member of the Business Advisory Board. NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/30/2018 ADDRESS: 5255 W 11000 N Ste. 225, Highland UT 84003, United States DESCRIPTION: My connection with this company arises from my philanthropic efforts with the Purpose Investor Network whose purpose and my role were previously disclosed and approved. This company has been developing highly specialized technology to treat cancers (more than one type) for the last 10 years through the Biology Department at Brighnam Young University. They have asked me to serve on an advisory board. This particular board will advise the Board of Directors of the company on business matters, including patents, legal structure, product manufacturing, and, in the long run, sale of the business. I will have no authority to bind the company legally in any way, handle company funds or have a vote on strategic matters. My job, with others on this board, is to analyze the issues I have outlined above and advise the Board of Directors of the company on potential "next steps."
CRS (Client Relationship Summary) - RIA
Click below to view John Leonard Unice'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®
CFP®
Start date: 1994
Experience
Current
February 8, 2005 - Present
KEELER THOMAS MANAGEMENT LLC
Office #1: 1327 S 800 E, Suite 100, Orem, UT 84097RIA
CRD#: 109522
OREM, UT
Past
September 1, 2023 - January 17, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
OREM, UT
Past
October 31, 2005 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
OREM, UT
Past
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 24, 1988 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
November 12, 1984 - January 17, 1985
WOMEN SECURITIES INTERNATIONAL
BD
CRD#: 10422
Past
November 26, 1982 - October 31, 1988
WARNER BECK INCORPORATED
BD
CRD#: 11076
Past
July 2, 1979 - December 16, 1982
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
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".
KT
KEELER THOMAS MANAGEMENT LLC
KEELER THOMAS INC | KEELER THOMAS MANAGEMENT LLC
CRD#: 109522 / SEC#: 801-100354
RIA
Registered Investment Advisory firm - (6/15/2015 Approved)California
Registered Investment Advisory firm - (7/22/2015 Terminated)Texas
Registered Investment Advisory firm - (6/22/2015 Terminated)Utah
Registered Investment Advisory firm - (6/22/2015 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
Utah(2/8/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/22/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
KT
KEELER THOMAS MANAGEMENT LLC
KEELER THOMAS INC | KEELER THOMAS MANAGEMENT LLC
CRD#: 109522 / SEC#: 801-100354
RIA
Registered Investment Advisory firm - (6/15/2015 Approved)California
Registered Investment Advisory firm - (7/22/2015 Terminated)Texas
Registered Investment Advisory firm - (6/22/2015 Terminated)Utah
Registered Investment Advisory firm - (6/22/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1327 South 800 East, Orem, UT 84097
Mailing Address
Phone number
(801) 226-0800
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 839 |
| AUM (Assets Under Management) | $ 379,274,089 |
Red Flags
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Company Information
KEELER THOMAS MANAGEMENT LLC
CRD#: 109522Orem, UT 84097TRUST BUT VERIFY
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Contact information
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