BIOGRAPHY of Thomas S. O’Keefe, President and Founder of NAIP

Thomas S. O’Keefe started working in the securities industry as a trainee for Shearson Lehman in 1986 (now Smith Barney).  He has also worked for several other well-known brokerage firms, as well as being an independent contractor with Raymond James Financial Services.  He formally held Series 7, 65, and 24 licenses and has worked as a principal in the securities industry.  He also is an Accredited Asset Management Specialist, earning that designation through the College of Financial Planning in Denver in 1996.  For two years Mr. O’Keefe was on the Kemper Executive Council.

In 1996 Mr. O’Keefe founded the National Association of Investment Professionals (NAIP) as a not-for-profit.  He is the current president of the new for-profit NAIP.

Mr. O’Keefe became a monthly columnist for Registered Representative Magazine in 1997 and wrote over sixty columns on the NAIP’s lobbying efforts in the U.S. Congress, on NAIP’s responses to the regulatory initiatives of the SEC, and on NASD Regulation regarding employment law and the NASD arbitration system.

Mr. O’Keefe has been quoted extensively in the Registered Representative Magazine, On Wall Street Magazine, and Investment News on matters related to employment law and market regulation. These NAIP initiatives have also been reported on by the Associated Press, the Washington Post, CNN, and other media publications.  Mr. O’Keefe has also made television appearances on CNN and CNBC in which a addressed market structure and regulatory problems and solutions.

In 2005 Mr. O’Keefe resigned from the NAIP to start Renew Minnesota (RM), a local not-for-profit promoting energy independence with renewable energy technology and environmentalism in Minnesota. He currently serves on RM’s Board.

Mr. O’Keefe holds a Bachelor of Science in Business degree from the University of Minnesota, Carlson School of Management.