Unclaimed Profile

Charles Joseph Unice

KEELER THOMAS MANAGEMENT LLC·OREM, Utah

SIE, Series 3, Series 7, Series 24, Series 63, Series 65ChFCClean record29 years registeredKEELER THOMAS MANAGEMENT LLC

1327 SOUTH 800 EAST, OREM, UT 84097CRD# 1433701Firm CRD# 109522

Profile Verification

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

Identity

Charles Joseph Unice · OREM, UT

Registration

CRD #1433701 · KEELER THOMAS MANAGEMENT LLC · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KEELER THOMAS MANAGEMENT LLC

KEELER THOMAS MANAGEMENT LLC

Jan 2003 – Nov 2021

OREM, UT

UNICE, CHARLES J.

Jul 1997 – Dec 2002

MAPLETON, UT

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · July 29, 1997

Years registered · 29

Professional designation · ChFC

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

KEELER THOMAS MANAGEMENT LLC

CRD 109522 · SEC 801-100354

AUM

$338M

Regulatory assets under management

Employees

824 client accounts

Services offered by KEELER THOMAS MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at KEELER THOMAS MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Charles Joseph Unice offer?

Charles Joseph Unice specializes in Financial Planning, Investment Management, Wealth Management.

What are Charles Joseph Unice's credentials?

Charles Joseph Unice holds the following professional designations: ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Charles Joseph Unice located?

Charles Joseph Unice is based in OREM, Utah, last registered with KEELER THOMAS MANAGEMENT LLC.

How does Charles Joseph Unice charge for services?

Charles Joseph Unice's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KEELER THOMAS MANAGEMENT LLC?

KEELER THOMAS MANAGEMENT LLC has approximately 13 employees and manages $338M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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