KEATING INVESTMENT COUNSELORS INC of DELRAY BEACH, FL is an SEC-registered investment adviser (CRD 110134). Regulatory assets under management: $383.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: High net worth, Other.
| Name | Role | Location |
|---|---|---|
| Richard Travis Keating | CHIEF COMPLIANCE OFFICER/PRESIDENT/PORTFOLIO MANAGER/INVESTMENT ANALYST | — |
| Ana Isabel Keating | SECRETARY/TREASURER/OFFICE MANAGER | — |
| Ursula Stephanie Auger | VICE PRESIDENT/PORTFOLIO MANAGER/RESEARCH ANALYST | Delray Beach, FL |
| KEATING PHILIP JOSEPH | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER/SENIOR PORTFOLIO MANAGER; PRESIDENT/CEO | — |
| KEATING JEANINE J | PRESIDENT; PRESIDENT/TREASURER; SECRETARY/TREASURER | — |
| SIERRA LINDA F | EXECUTIVE VICE PRESIDENT/SECRETARY; EXEC. VP AND CHIEF OPERATING OFFICER; EXEC. VP & CHIEF COMPLIANCE OFFICER (+3 more) | — |
| KEATING RICHARD TRAVIS | CHIEF COMPLIANCE OFFICER/PRESIDENT/PORTFOLIO MANAGER/INVESTMENT ANALYST; CHIEF COMPLIANCE OFFICER/PRESIDENT/TREASURER/PORTFOLIO MANAGER/INVESTMENT ANALYST; CHIEF COMPLIANCE OFFICER/VICE PRESIDENT/TREASURER/PORTFOLIO MANAGER/INVESTMENT ANALYST | — |
| AUGER URSULA STEPHANIE | VICE PRESIDENT, PORTFOLIO MANAGER; VICE PRESIDENT/PORTFOLIO MANAGER/RESEARCH ANALYST | — |
| KEATING ANA ISABEL | SECRETARY/TREASURER/OFFICE MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-04-14 | regulatory | IN APRIL 2017, AN INTERNAL REVIEW BY KEATING INVESTMENT COUNSELORS DISCOVERED THAT MR. RICHARD KEATING AND MR. PHILIP KEATINGS' REGISTRATIONS WITH THE STATE OF FLORIDA HAD DISCREPANCIES. THE STATE OF FLORIDA WAS IMMEDIATELY NOTIFIED IN ORDER TO CORRECT THIS PAPERWORK. ON JUNE 1, 2017, A FINAL ORDER… | Final | $70K |