Career
Ivor O'keeffe has been Board Director of RBC Rochdale since November 2024. Ivor O'keeffe is a control person of the firm and directly owns under 5% of it.
RBC Rochdale, LLC is a New York, NY firm with $73B under management, 17,054 clients and 138 advisers across 11 offices, as of its September 2026 filing.
- Rbc Securities, Inc.Also current– present · 2 years, · Adviser representative · Firm CRD 103705
- Rbc Securities, IncAlso current– present · 2 yearsMiddletown, NJ · Adviser representative and broker · Firm CRD 103705
- Flagstar Advisors, Inc.– · 20 yearsNew York, NY · Adviser representative · Firm CRD 104233
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| California | Approved | 15 May 2025 |
| New Jersey | Approved | 4 April 2025 |
| New York | Approved | 16 September 2024 |
- Status
- Approved
- Status
- Approved
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 28 August 2024 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 55 | Limited Representative-Equity Trader Exam | 4 August 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 September 2002 |
| Series 53 | Municipal Securities Principal Examination | 1 July 2002 |
| Series 4 | Registered Options Principal Examination | 15 April 2002 |
| Series 24 | General Securities Principal Examination | 30 January 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 October 1994 |
| Series 7 | General Securities Representative Examination | 15 June 1994 |
- Name
- Municipal Securities Representative Examination
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Ivor Patrick O'keeffe
- CRD
- 2397120
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Ivor O'keeffe work?
Ivor O'keeffe has been Board Director of RBC Rochdale, LLC since November 2024, and is a control person of the firm.
Is Ivor O'keeffe a financial advisor?
Yes. Ivor O'keeffe has a current investment-adviser registration in California, New Jersey and New York.
How many years of experience does Ivor O'keeffe have?
Ivor O'keeffe has 31 years in the financial industry, since December 1994, across 2 adviser firms.
What exams has Ivor O'keeffe passed?
Ivor O'keeffe has passed 10 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 53, Series 65, Series 55, Series 57TO, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in June 1994. FINRA credited Ivor O'keeffe with the SIE, which began in October 2018.
Where was Ivor O'keeffe previously registered as an investment adviser?
Ivor O'keeffe has past investment-adviser registrations through Flagstar Advisors, Inc., October 2003 to July 2024, across 2 firms.