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Keating Securities, Llc


Keating Securities, Llc 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.
 
Keating Investments, Llc is a registered investment advisor, and Keating Securities, Llc is a registered broker-dealer subsidiary. Both companies operate under the generic name Keating Investments or Keating. Keating recognizes that protecting the privacy and security of the confidential personal information they collect about you is an important responsibility. In the event you terminate your customer relationship with them, or become an inactive customer, they will continue to adhere to the policies and practices.
 
They collect personal information to help you serve your financial needs, offer new products or services, provide customer service and fulfill legal and regulatory requirements. The type of information that they collect varies according to the products or services involved, and may include Information they receive from you on applications and related forms; and Information about your transactions and relationships with them, their affiliates or with non-affiliated third parties such as products or services purchased, history of investments.
 
Once they qualify a private company target and agree on preliminary terms, their staff attorneys will oversee its merger into one of the public shells that they hold in inventory. They manage the entire process and supply all of the relevant transaction documentation. First, the target company will receive an initial documentation package, which will include Transaction Overview, Letter of Intent between private company target and public shell, Financial Advisory Agreement between private company and Keating, Due Diligence Request List.
 
Unlike an IPO, where going public and raising capital are completed in a single step, a reverse merger involves two phases. First, the reverse merger is completed. Then, capital is raised, either through a private placement or a registered public offering. They have a team of six highly experienced institutional salesmen, five based in Colorado and one based in California, who is dedicated to raising capital for their reverse merger clients.  
 


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