Individual Firm
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NEIL JOHN OKEEFFE
NEIL J. O'KEEFFE MR., NEIL J. O'KEEFFE, NEIL O'KEEFFE, NEIL JOHN OKEEFFE MR.
CRD#: 1847528
IA
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CHARLES SCHWAB & CO., INC.CRD#: 5393 1231 S. California Blvd
Walnut Creek, CA 94596-5122
Walnut Creek, CA 94596-5122
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Disclosures
19
Years of Experience
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State Registrations
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Arizona 4/5/2019
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Missouri 4/5/2019
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California 4/5/2019
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Nevada 4/5/2019
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California 4/5/2019
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New Jersey 4/5/2019
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Colorado 4/5/2019
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New York 4/5/2019
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Delaware 4/5/2019
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North Carolina 4/5/2019
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District of Columbia 4/5/2019
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Ohio 4/5/2019
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Florida 4/5/2019
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Oregon 12/1/2020
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Georgia 4/5/2019
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Pennsylvania 4/5/2019
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Hawaii 4/5/2019
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South Carolina 4/5/2019
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Indiana 4/5/2019
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Texas 4/5/2019
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Louisiana 4/5/2019
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Virginia 4/5/2019
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Maryland 4/5/2019
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Washington 12/1/2020
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Massachusetts 4/5/2019
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West Virginia 4/5/2019
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Michigan 4/5/2019
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Wyoming 4/5/2019
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Minnesota 4/5/2019
SRO Registrations
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Registered with this firm since 4/5/2019
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Registered with this firm since 4/5/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/13/2016 - 03/04/2019 | SAN RAMON, CA | |
B | 09/13/2016 - 03/04/2019 | SAN RAMON, CA | |
IA | 03/28/2013 - 09/02/2016 | SAN FRANCISCO, CA | |
B | 04/19/2013 - 09/02/2016 | SAN FRANCISCO, CA | |
IA | 09/20/2004 - 02/28/2012 | SAN FRANCISCO, CA | |
B | 09/06/2004 - 02/28/2012 | SAN FRANCISCO, CA |
SAN RAMON, CA
09/13/2016 - 03/04/2019
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.