Role at Pathstone Family Office
- Title on Schedule A
- General Counsel
- Control
- Charles Keates is a control person of Pathstone Family Office.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Charles Keates has held the filed role since January 2025.
The firm
Form ADV filed 31 March 2026
Career on record
Charles Keates has been registered through Pathstone Family Office since September 2023, and before that through Veritable LP.
- Passed Series 65 · 2004
- Veritable LP– · 19 yearsEdgemont, PA · Adviser representative · Firm CRD 130758
- Passed Series 7 and Series 63 · 2003
Registrations and exams
Charles Keates has a current investment-adviser registration in Pennsylvania and has passed 3 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Pennsylvania | Investment adviser representative | Approved | 22 September 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 29 March 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 July 2003 |
| Series 7 | General Securities Representative Examination | 2 July 2003 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Charles Paxson Keates
- CRD
- 4478687
- Registration status
- Investment adviser registration
- Office
- 6022 WEST CHESTER PIKE, Newtown Square, PA 19073
- Firm bio
- pathstone.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Pathstone identifies Charles Keates as general counsel and describes his legal and compliance responsibilities. Official Pathstone biography
Education
- BA, La Salle UniversityOfficial Pathstone biography
- JD, Seton Hall UniversityOfficial Pathstone biography
- Master of Governmental Administration, Fels Institute of Government, University of PennsylvaniaOfficial Pathstone biography
Common questions
Where does Charles Keates work?
Charles Keates has been General Counsel of Pathstone Family Office, LLC since January 2025, and is a control person of the firm.
Is Charles Keates a financial advisor?
Yes. Charles Keates has a current investment-adviser registration in Pennsylvania, through Pathstone Family Office since September 2023, as of 17 October 2026.
How many years of experience does Charles Keates have?
Charles Keates has worked in the financial industry for 22 years as of 17 October 2026, counted from 22 March 2004, across 2 adviser firms.
What exams has Charles Keates passed?
Charles Keates has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in July 2003.
Where did Charles Keates work before Pathstone Family Office?
Before Pathstone Family Office, Charles Keates was registered through Veritable LP, March 2004 to September 2023.
Where is Charles Keates based?
Charles Keates’ registered office is in Newtown Square, PA.
Leadership at Pathstone Family Office
- Matthew FleissigChief Executive Officer
- Kelly MaregniPresident
- Michelle JohnstonChief Financial Officer
- Bliss BernalChief Compliance Officer
- Steven BravermanCo-Chairman
- Allan ZachariahCo- Chairman