ST. BERNARD FINANCIAL SERVICES, INC.
Adviser information for ST. BERNARD FINANCIAL SERVICES, INC. last updated from Form ADV on June 27th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arkansas, United States |
Employees
| Total Number of Employees | 117 |
|---|---|
| Investment Advisory/Research | 23 |
| Registered Broker-Dealer Representatives | 115 |
| Registered State Investment Advisers | 40 |
| Licensed Agents of an Insurance Company | 77 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 719 | $104.5M |
| Total | 719 | $104.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 713 | $98.9M |
| HNW Individuals | 6 | $5.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-113763 |
|---|---|
| SEC ERA File Number | 801-113763 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 36956 |
| Legal Entity Identifier | KEEN |
Principal Office
1609 WEST MAIN STRUSSELLVILLE
AR
United States
Monday - Friday, 8:30 TO 4:30
Tel: 479-967-1200, Fax: 479-967-9344
Chief Compliance Officer
ROBERT KEENAN
CEO & CCO
1609 WEST MAIN
RUSSELLVILLE
AR
United States
Tel:
479-967-1200
Fax:
479-967-9344
R************@*********************M
(Full email address available in API data)
Industry Affiliates
| ST. BERNARD FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersAccountant or accounting firmInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KEENAN, ROBERT JR | Individual | – | CEO, CCO, TRUSTEE OF ROBERT KEENAN TRUST | 03/1994 | < 5% |
| ROBERT KEENAN REVOCABLE TRUST | Domestic Entity | – | OWNER | 02/2012 | > 75% |
| KEENAN, ROBERT JR | Individual | ROBERT KEENAN REVOCABLE TRUST | TRUSTEE | 02/2012 | > 75% |
| DYER, SHARON JANE | Individual | – | ASSISTANT FINOP AND MUNI PRINCIPAL | 05/2017 | < 5% |
| CELI, MARK EDWARD | Individual | – | OPTIONS PRINCIPAL | 12/2019 | < 5% |