Keokuk, IA Office
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Moors & Cabot, Inc.
Multi-team
Firm-wide stats for Moors & Cabot, Inc.
About
Moors & Cabot serves retail and high‑net‑worth individuals as well as corporations, pension and profit‑sharing plans, trusts, estates, and charitable organizations. The firm provides portfolio management through its Portfolio Management Program, fee‑based financial planning and consulting, referrals to third‑party wrap programs, and advice‑only services for assets held away from its clearing firm.
Advisory services can be provided on a discretionary or non‑discretionary basis and draw on a range of analysis methods (including fundamental, technical, quantitative and qualitative approaches) and common strategies like asset allocation and dollar‑cost averaging. The firm uses third‑party and affiliated sub‑advisors (for example Eagleclaw Capital and First Trust), participates in RBC‑sponsored wrap programs and sweep arrangements, aggregates household assets for fee breakpoints, and credits certain mutual‑fund 12b‑1 fees back to client accounts.
Notable distinctions include its dual registration and affiliations — it operates as an SEC‑registered investment adviser, a FINRA‑registered broker‑dealer and a licensed insurance agency — which enables commissionable brokerage and insurance sales alongside advisory services and creates disclosed conflicts of interest. The brochure also discloses municipal‑security advisory activity (municipal securities are listed among its investable instruments), significant clearing‑firm arrangements and incentive payments from RBC (including transition assistance, forgivable loans and retention credits tied to sweep balances), and recent regulatory matters (FINRA acceptance, waiver and consent orders relating to Form CRS/AML matters and a 2023 SEC order addressing undisclosed clearing‑firm revenue sharing and related payments and remedial undertakings).
Based on Moors & Cabot, Inc.
Expertise
Based on Moors & Cabot, Inc.
Occupation focus
Based on Moors & Cabot, Inc.
Location
406 Main Street
Keokuk IA 52632
Advisors at this office
3
Advisors at this office
Daniel K
Series 63, Series 65
Keokuk, IA
Moors & Cabot, Inc.
Daniel Krueger is a financial advisor with Moors & Cabot, Inc. in Keokuk, Iowa, holding Series 63 and Series 65 licenses and bringing 33 years of industry experience. He has worked at B.B. Graham & Co. since 2014 and has operated Krueger Brokerage Inc. since 1992. Outside of his advisory work, he serves on the Finance Committee of the First Christian Church in Keokuk. Moors & Cabot serves retail and high-net-worth individuals, corporations, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm offers portfolio management, fee-based financial planning, consulting, and advice-only services, employing a range of analytical approaches and investment strategies.
Robert K
Series 63, Series 65
Keokuk, IA
Moors & Cabot, Inc.
Robert Kelly is a financial advisor at Moors & Cabot, Inc. with 18 years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at B.B. Graham & Co. and Krueger Brokerage Inc. Outside of his advisory work, he serves as a board member on the Keokuk City Council. Moors & Cabot serves retail and high-net-worth individuals, corporations, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm offers portfolio management, fee-based financial planning, and consulting, employing a range of investment analysis methods and strategies.
Nicholas P
Series 66
Keokuk, IA
Moors & Cabot, Inc.
Nicholas Profeta is a financial advisor at Moors & Cabot, Inc. with one year of industry experience. He holds a Series 66 designation and has previously worked at KIST Advisory Group, Southwestern CC, Darkside, and Keokuk School. Moors & Cabot serves retail and high-net-worth individuals, corporations, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm offers portfolio management, fee-based financial planning, consulting, and advice-only services, utilizing various analysis methods and strategies, and works with third-party and affiliated sub-advisors.
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