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Erik Allen O'Keefe

Moors & Cabot, Inc.

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About Erik Allen O'Keefe

Erik O'Keefe is a financial advisor with Moors & Cabot, Inc. located in Lockport, NY. Erik has been in the industry since 2005 and has held previous roles at Ameriprise Financial Services, LLC and AXA Advisors, LLC. Erik has Series 7, Series 66, and SIE licenses and is registered in eight states including New York, Florida, California, Illinois, North Carolina, Pennsylvania, and Texas. Erik provides financial planning, portfolio management for individuals and businesses, and selection of other advisors.

Firm Information

Erik O'Keefe is currently registered with Moors & Cabot, Inc.. Moors & Cabot, Inc. is a corporation that provides financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. They have been in business since 1978 and have offices in Boston, MA. They have over 200 employees and manage over $3 billion in assets. The firm is registered with the SEC and in all 50 states. They also participate in wrap fee programs.
Moors & Cabot, Inc.

ONE FEDERAL STREET

BOSTON, MA 02110

$3.09B

Assets Under Management

15

Total Clients

97

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Erik O'Keefe’s Registration & Firm History

NY

04/21/2021 - Present

Moors & Cabot, Inc. (LOCKPORT NY)

NY

07/01/2009 - 04/27/2021

AMERIPRISE FINANCIAL SERVICES, LLC (LOCKPORT NY)

NY

10/18/2005 - 07/07/2009

AXA ADVISORS, LLC (WILLIAMSVILLE NY)

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Licenses & Designations

BOTH

Issued 10/28/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Erik Allen O'Keefe.
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