|
|
 |
| |
|
Home > Financial Services > Stock Brokers > Keeley Investment Corp.
Keeley Investment Corp.
Keeley Investment Corp. is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Keeley Investment Corp. is a registered Broker/Dealer. It was formed in 1977 by John L. Keeley, Jr., a Chartered Financial Analyst, to provide research and brokerage services to a limited number of institutional and individual clients. They provide to their clients a full range of investment vehicles and services including research on small to medium sized companies offering long-term capital gains potential, mutual funds and unit investment trusts, hedge funds, management of discretionary accounts, stock option strategies, municipal, government and corporate bonds and underwriting participation.
They also provide professional management of investments through their affiliated registered investment advisor, Keeley Asset Management Corp., which was founded in 1982.
In addition to these services, Keeley Investment Corp. is the distributor of the keeley Small Cap Value Fund, Inc. and keeley Funds, Inc. registered mutual funds. The Funds are managed by KAMCO and commenced operations October 1, 1993, and August 12, 2005, respectively. All customer accounts of Keeley Investment Corp. are carried by National Financial Services, LLC, member NYSE/SIPC a Fidelity Investments company.
They plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding their employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing their customers to transact business. In short, their business continuity plan is designed to permit their firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Their business continuity plan addresses data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with employees, customers, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring their customers prompt access to their funds and securities if they are unable to continue their business.
Financial Services Companies
all are here at FinancialBrowsers.com Permission is granted to reproduce this article as long as the above resource paragraph is left intact with active links.
Back to Stock Brokers
|
|
|
|
|
|
|