John Patrick Keating

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-04-01
MA	RA	APPROVED	2023-07-13

FL RA
APPROVED

Since 2026-04-01
MA RA
APPROVED

Since 2023-07-13

Branch Locations

Watersound, FL • United States

6 Loring Blvd, # 4137, Plymouth, MA 02360 • United States

200 Lowder Brook Dr Ste 2100, Westwood, MA 02090 • United States

Disclosures

4 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Moors & Cobat	Norwell	MA	07/2011	02/2018
Oppenheimer & Co. Inc	Boston	MA	02/2018	06/2023
Lpl Financial Llc	Waltham	MA	06/2023	Present

07/2011 → 02/2018

Moors & Cobat

Norwell, MA
02/2018 → 06/2023

Oppenheimer & Co. Inc

Boston, MA
06/2023 → Present

Lpl Financial Llc

Waltham, MA

Previous Registrations

2018-02-27 → 2023-06-16

Oppenheimer & Co. Inc.

Boston, MA
2011-07-28 → 2018-02-23

Moors & Cabot, Inc.

Norwell, MA
2009-10-23 → 2011-07-29

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hingham, MA

Hingham, MA
2007-02-05 → 2009-10-23

Banc Of America Investment Services, Inc.

Hingham, MA
2003-11-04 → 2007-02-15

Rbc Capital Markets, Llc

Norwell, MA

Norwell, MA

Other Businesses

1) 5/2023 - Bay Financial Associates, LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 5/2023 - John Keating / Non-Variable Insurance / Investment Related / WALTHAM, MA / Start date 06/09/2023 - 160 Hrs per month 3) 12/06/2023 - Keating Wealth Management - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/1/2024 - 160 Hrs/Mo; 7 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-11
S63	Uniform Securities Agent State Law Examination	1994-08-26

S65 Uniform Investment Adviser Law Examination

1994-10-11
S63 Uniform Securities Agent State Law Examination

1994-08-26

Other Names

John P Keating

View on SEC IAPD