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Anthony John Pozzi

Investment Adviser Representative at KEATING FINANCIAL ADVISORY SERVICES

Rockford, ILCRD #2577881Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Anthony John Pozzi has worked in the securities industry since 1995. They are registered to provide investment advisory services in Illinois.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Illinois
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/11/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 1/27/1995
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/23/1995
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 4/10/2003
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 3/31/2003

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Keating Financial Advisory Services Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KEATING FINANCIAL ADVISORY SERVICESCurrent
5/9/2025Rockford, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
1/2/20097/1/2025Rockford, IL
RAYMOND JAMES FINANCIAL SERVICES
7/10/20071/2/2009Rockford, IL
RAYMOND JAMES FINANCIAL SERVICES
1/16/20032/2/2007Rockford, IL
LM FINANCIAL PARTNERS, INC.
9/22/199712/12/2002Rockford, IL

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Anthony John Pozzi has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Anthony John Pozzi - Financial Advisor in Rockford, IL | AdvisorFinder