SK
Steven T. Keller
NELSON SECURITIES,INC.
FORT WHITE, FL
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CRD#: 1030518
SK
Professional summary
Steven Thomas Keller is a registered financial advisor currently at NELSON SECURITIES,INC. located in Fort White, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Steven has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Thomas Keller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Thomas Keller's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 10, 2003 - Present
NELSON SECURITIES,INC.
RIA
BD
CRD#: 14377
FORT WHITE, FL
Current
December 2, 1993 - Present
NELSON SECURITIES,INC.
Office #1: 9718 N Morton Ct, Spokane, WA 99218Office #2: 9718 N Morton Ct, Spokane, WA 99218RIA
BD
CRD#: 14377
Spokane, WA
Past
September 12, 1992 - December 2, 1993
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
June 1, 1990 - October 1, 1991
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
Past
February 28, 1990 - October 1, 1991
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
October 4, 1989 - March 27, 1990
UR FINANCIAL, INC.
BD
CRD#: 10509
Past
March 30, 1982 - June 8, 1995
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NS
NELSON SECURITIES,INC.
NELSON INSURANCE AGENCY | WEALTH ASSET MANAGERS | NELSON SECURITIES,INC.
CRD#: 14377 / SEC#: 801-41346, 8-30576
RIA
Registered Investment Advisory firm - SEC (5/7/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/12/2006)
RR
Arizona(7/9/1996)
RR
Arkansas(7/9/1996)
RR
California(7/9/1996)
RR
Colorado(3/28/1995)
RR
Connecticut(3/28/1995)
RR
Florida(12/7/1993)
IAR
Florida(6/10/2003)
RR
Georgia(4/12/1995)
RR
Idaho(3/29/1995)
RR
Illinois(3/29/1995)
RR
Indiana(4/20/1995)
RR
Iowa(4/26/1995)
RR
Kansas(3/31/1995)
RR
Kentucky(3/29/1995)
RR
Louisiana(7/9/1996)
RR
Maine(7/11/1996)
RR
Maryland(4/3/1995)
RR
Massachusetts(4/28/1994)
RR
Michigan(1/13/2004)
RR
Minnesota(7/11/1996)
RR
Mississippi(3/29/1995)
RR
Missouri(6/9/1995)
RR
Montana(7/10/1996)
RR
Nebraska(4/6/1995)
RR
Nevada(3/31/1995)
RR
New Hampshire(3/4/1997)
RR
New Jersey(4/13/1995)
RR
New Mexico(11/29/2018)
RR
New York(12/20/1994)
RR
North Carolina(4/3/1995)
RR
Ohio(3/28/1995)
RR
Oklahoma(3/29/1995)
RR
Pennsylvania(2/14/1994)
RR
Rhode Island(4/20/1995)
RR
South Carolina(4/18/1995)
RR
South Dakota(3/14/1997)
RR
Tennessee(3/4/1997)
RR
Texas(2/11/1994)
RR
Virginia(7/11/1996)
RR
Washington(1/13/1994)
RR
West Virginia(5/21/1996)
RR
Wisconsin(7/10/1996)
RR
Wyoming(3/28/1995)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NELSON SECURITIES,INC.
NELSON INSURANCE AGENCY | WEALTH ASSET MANAGERS | NELSON SECURITIES,INC.
CRD#: 14377 / SEC#: 801-41346, 8-30576
RIA
Registered Investment Advisory firm - SEC (5/7/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
9718 N Morton Ct, Spokane, WA 99218
Mailing Address
9718 N Morton Ct, Spokane, WA 99218
Phone number
(509) 838-1313
Established
Washington since 10/03/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
15
SEC notice filing (50 States and Territories)
FINRA licenses (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,026 |
| AUM (Assets Under Management) | $ 271,967,129 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
