ST. BERNARD FINANCIAL SERVICES, INC. of RUSSELLVILLE, AR is an SEC-registered investment adviser (CRD 36956). Regulatory assets under management: $136.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Robert Jr Keenan | CEO, CCO, TRUSTEE OF ROBERT KEENAN TRUST; TRUSTEE | — |
| Sharon Jane Dyer | ASSISTANT FINOP AND MUNI PRINCIPAL | — |
| Mark Edward Celi | OPTIONS PRINCIPAL | — |
| JONES DAVID DWAIN | OPTIONS PRINCIPAL | — |
| KEENAN ANNE ADAMS | SHAREHOLDER | — |
| KEENAN ROBERT JR | CEO; CEO, CCO, TRUSTEE OF ROBERT KEENAN TRUST; CEO, CFO & CCO (+2 more) | — |
| SHANNON DEBRA DAWN | DIRECTOR OF BUSINESS DEVELOPMENT | — |
| MILES JOSEPH ANDREW | DIRECTOR OF RETAIL FIXED INCOME | — |
| MIKKELSEN ROBERT THOMAS | OPTIONS PRINCIPAL | — |
| DYER SHARON JANE | ASSISTANT FINOP AND MUNI PRINCIPAL | — |
| CELI MARK EDWARD | OPTIONS PRINCIPAL | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-11-16 | regulatory | NEELY TRADED IN THE ACCOUNT OF TWO CUSTOMERS WITHOUT HAVING WRITTEN PERMISSION. HE DID HAVE VERBAL PERMISSION. | Final | $5K |
| 2018-04-10 | regulatory | FAILED TO PROPERLY DISCLOSE REGULATORY HISTORY OF A PERSON IN ANOTHER STATE THAT WAS NOT REGISTERING IN TENNESSEE. | Final | — |
| 2018-04-10 | regulatory | FAILED TO MAKE CERTAIN DISCLOSURES. | Final | — |
| 2016-06-02 | regulatory | WHEN RENEWING THE FIRM'S INSURANCE LICENSE THE REGISTRATION COORDINATOR ANSWERED A QUESTION WRONG ON AN APPLICATION. | Final | $250 |
| 2016-05-16 | regulatory | PROVIDED INCORRECT, OR MISLEADING, OR INCOMPLETE, OR FALSE INFORMATION, IN AN INSURANCE LICENSING RENEWAL. | Final | $250 |
| 2014-02-11 | regulatory | ST BERNARD FAILED TO HAVE ADEQUATE EMAIL SUPERVISION PROCEDURES PRIOR TO 2012. THIS WAS ABOUT A REP USING A PERSONAL EMAIL ACCOUNT THAT THE FIRM DID NOT DETECT. THE FIRM CHANGED THEIR EMAIL SUPERVISION PROCEDURES | Final | $25K |
| 2012-12-01 | regulatory | FIRM FAILED TO HAVE ADEQUATE SUPERVISORY PROCEDURES IN PLACE PRIOR TO 2012 TO DETECT AN ADVISOR'S USE OF AN OUTSIDE EMAIL ACCOUNT. | Final | $25K |
| 2010-02-03 | regulatory | FOUR INVESTMENT ADVISOR REPS WERE UNREGISTERED IN ARKANSAS DURING 2008 AND 2009 DUE TO A FAILURE OF THE REGISTRATION COORDINATOR TO PROPERLY UPDATE REGISTRATIONS. BEING UNREGISTERED AND CONDUCTING BUSINESS IS A VIOLATION OF THE ARKANSAS SECURITIES ACT | Final | $7K |
| 2007-02-12 | regulatory | FIRM ALLOWED NET CAPITAL TO FALL BELOW MINIMUMS DUE TO AN ACCOUNTING ERROR | Final | $5K |
| 2003-05-14 | regulatory | DURING NASD EXAM THE EXAMINER FELT THAT THERE WAS A POTENTIAL OF A LIEN AGAINST ST BERNARD'S NET CAPITAL, WHICH WOULD CAUSE US TO BE UNDERCAPITALIZED. NO LIEN EXISTED, BUT THERE WAS A POTENTIAL FOR ONE. | Final | $3K |
Showing 15 of 26 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| ROGERS | AR | 2 | 479-418-9906 |
| JONESBORO | AR | 2 | 870-203-0749 |
| — | — | 2 | 720-998-5353 |
| — | — | 1 | 425-260-9876 |
| BROKEN ARROW | OK | 1 | 918-530-7222 |
| VERNON | CT | 1 | 860-643-2500 |
| WOODLAND HILLS | CA | 1 | 818-485-2335 |
| ROGERS | AR | 1 | 479-276-1893 |
| WESTFIELD | MA | 1 | 413-568-8390 |
| — | — | 1 | 479-442-8899 |
| RIVERDALE | GA | 1 | 770-996-2798 |
| ST LOUIS | MO | 1 | 314-548-6188 |
| — | — | 1 | 504-487-7899 |
| — | — | 1 | 501-882-7513 |
| — | — | 1 | 405-823-5835 |