Timothy Daniel Keefe

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1996 → Present
  Keefe And Associates, Inc.
  Phoenix, AZ
• 01/2009 → 09/2023
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ

Previous Registrations

• 2012-03-07 → 2023-09-01
  Osaic Services, Inc.
  Chandler, AZ
  Scottsdale, AZ
  Phoenix, AZ
  Tempe, AZ
  Scottsdale, AZ

Other Businesses

1. LEGACY SOLUTIONS, LLC POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 1 START DATE: 12/12/1996 ADDRESS: 8034 W. Redbird Rd, Peoria AZ 85383, United States DESCRIPTION: Service Health and Life Insurance Needs 2. LEGACY DOCUMENT SERVICES LLC, NO, 8034 W. REDBIRD RD., PEORIA, AZ 85383, OWNER,30/1, GATHER INFORMATION AND DELIVER TRUST DOCUMENTS AFTER THE ATTORNEY IS DONE CREATING THEM, UNDER $10,000 COMPENSATION. 3. KEEF'S REALTY LLC. START DATE: 07/31/2008. LLC ESTABLISHED for the purpose of purchasing property in the future. I do not receive any compensation for this activity. This is a real estate venture. Manage Bank and Brokerage Account. Not held out to the public. . 4. KEEFE & ASSOCIATES, INC. POSITION: Owner NATURE: S Corp. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 2 START DATE: 09/01/1997 ADDRESS: 8765 E. Bell Rd, Suite # 204, Scottsdale AZ 85260, United States DESCRIPTION: This Entity was originally created for promoting Senior Health Ins. Now is used forBusiness expenses and Tax Reporting.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-01-19
• S63 Uniform Securities Agent State Law Examination
  2000-04-26