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Inactive

Anthony John Pozzi

Keating Financial Advisory Services

Rockford, IL

Manhattan, KS

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Current Employers
Keating Financial Advisory Services

1011 Poyntz Avenue, Manhattan, KS 66502 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-05-10
IL RA APPROVED 2025-05-09
  • TX RA
    APPROVED_RES
    Since 2025-05-10
  • IL RA
    APPROVED
    Since 2025-05-09

Branch Locations

1639 N Alpine Road Suite 103, Rockford, IL 61107 • United States

1011 Poyntz Avenue, Manhattan, KS 66502 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services Rockford IL 07/2007 07/2025
Raymond James Financial Services Advisors, Inc Rockford IL 01/2009 07/2025
Rockford Bank & Trust Co. Rockford IL 07/2007 11/2019
Keating Financial Advisory Services Rockford IL 05/2025 Present
Previous Registrations
  • 2009-01-02 → 2025-07-01
    Raymond James Financial Services Advisors, Inc
    Rockford, IL
    Rockford, IL
  • 2007-07-10 → 2009-01-02
    Raymond James Financial Services, Inc.
    Rockford, IL
    Manhattan, KS
    Rockford, IL
  • 2003-01-16 → 2007-02-02
    Raymond James Financial Services, Inc.
    Rockford, IL
    Belvedere, IL
  • 1997-09-22 → 2002-12-12
    Howard Weil Incorporated
    Rockford, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-11
S63 Uniform Securities Agent State Law Examination 1995-01-27
  • S65 Uniform Investment Adviser Law Examination
    1996-12-11
  • S63 Uniform Securities Agent State Law Examination
    1995-01-27

View on SEC IAPD

Other Firms

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
STACKSTONE WEALTH, LLC
EDWARD JONES
STATE FARM INVESTMENT MANAGEMENT CORP.
FIFTH THIRD SECURITIES, INC.
LPL FINANCIAL LLC

Other Investors

JASON JEFFREY WERNER
JENNIFER ELISE LEWIS
ZORANA OKILJ
DAVID RAY FEHRLE
JACK E WHEELER
THOMAS MARTIN WEIGHTMAN
EMILY MANEY VANHILLE
ERICH LEE VARGAZ

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · ROCKFORD, IL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROCKFORD, IL
AMERIPRISE FINANCIAL SERVICES, LLC · Rockford, IL
STACKSTONE WEALTH, LLC · ROCKFORD, IL
EDWARD JONES · ROCKFORD, IL
STATE FARM INVESTMENT MANAGEMENT CORP. · Rockford, IL
FIFTH THIRD SECURITIES, INC. · ROCKFORD, IL
LPL FINANCIAL LLC · ROCKFORD, IL

More in Rockford, IL

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