Unclaimed Profile

Dale Allen Walters

KEATS, CONNELLY AND ASSOCIATES, LLC·PHOENIX, Arizona

Series 1, Series 63, Series 65Clean record31 years registeredKEATS, CONNELLY AND ASSOCIATES, LLC

3336 N. 32ND STREET, PHOENIX, AZ 85018-6241CRD# 714941Firm CRD# 148884

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Dale Allen Walters · PHOENIX, AZ

Registration

CRD #714941 · KEATS, CONNELLY AND ASSOCIATES, LLC · 31 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KEATS, CONNELLY AND ASSOCIATES, LLC

KEATSCONNELLY

Feb 2009 – Sep 2017

PHOENIX, AZ

CROSS BORDER TAX & ACCOUNTING, LLC

Dec 2007 – Oct 2011

PHOENIX, AZ

KEATS CONNELLY AND ASSOCIATES INC.

Aug 1994 – Jun 2010

PHOENIX, AZ

Registrations & Exams

FINRA examinations passed

Series 1

Series 63

Series 65

Registration record

First registered · August 31, 1994

Years registered · 31

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

KEATS, CONNELLY AND ASSOCIATES, LLC

CRD 148884 · SEC 801-69866

Employees

Total firm employees

Services offered by KEATS, CONNELLY AND ASSOCIATES, LLC

Per Form ADV

Financial planning

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at KEATS, CONNELLY AND ASSOCIATES, LLC →

Introduction

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Frequently Asked Questions

What services does Dale Allen Walters offer?

Dale Allen Walters specializes in Financial Planning.

What are Dale Allen Walters's credentials?

Dale Allen Walters is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Dale Allen Walters located?

Dale Allen Walters is based in PHOENIX, Arizona, last registered with KEATS, CONNELLY AND ASSOCIATES, LLC.

How does Dale Allen Walters charge for services?

Dale Allen Walters's firm is compensated through hourly charges, subscription fees, other: adviser referral fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KEATS, CONNELLY AND ASSOCIATES, LLC?

KEATS, CONNELLY AND ASSOCIATES, LLC has approximately 2 employees. The firm is registered with the SEC as an investment adviser.

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Nearby cities in Arizona

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