Roger N. Steed

KRS CAPITAL MANAGEMENT

Bloomfield Hills, MI 48304

Some features on this profile are disabled

CRD#: 1046542

Professional summary

Roger Neil Steed is a registered financial advisor currently at KRS CAPITAL MANAGEMENT, LLC located in Bloomfield Hills, Michigan.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Roger has worked at 2 firms and has passed the Series 65, Series 63, Series 3, Series 15 and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Neil Steed's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 10, 2008 - Present

KRS CAPITAL MANAGEMENT, LLC

Office #1: 101 West Long Lake Road, Bloomfield Hills, MI 48304

RIA

CRD#: 142928

Bloomfield Hills, MI

Past

May 21, 1982 - January 5, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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".

KRS CAPITAL MANAGEMENT, LLC

CRD#: 142928 / SEC#: 801-126105

RIA

Registered Investment Advisory firm - (7/15/2022 Approved)

Michigan

Registered Investment Advisory firm - (8/3/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/27/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(9/3/2010)

IAR

Texas
(6/12/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/2/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 5/18/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 5/15/1982

General Securities Representative Examination

Current Firm

KRS CAPITAL MANAGEMENT, LLC

CRD#: 142928 / SEC#: 801-126105

RIA

Registered Investment Advisory firm - (7/15/2022 Approved)

Michigan

Registered Investment Advisory firm - (8/3/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/27/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

101 West Long Lake Road, Bloomfield Hills, MI 48304

Mailing Address

Phone number

(248) 433-0621

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (2/4/2025)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 156,462,531

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.

Similar Advisors

Jack Jerzewski

LPL ENTERPRISE, LLC

IAR

TROY, MI

Lyndon Davis

LIGHTSQUARE WEALTH MANAGEMENT, LLC

IAR

Farmington Hills, MI

Michael Delap

OSAIC WEALTH, INC.

SCOTTSDALE, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger N. Steed

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Neil Steed's CRS (Customer Relationship Summary).

Certified licenses

Experience

SALOMON BROTHERS INC.

Primary Firm SEC Registration

KRS CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2010

Series 63

Date: 6/4/1982

Series 3

Date: 11/2/1998

Series 15

Date: 5/18/1985

Series 7

Date: 5/15/1982

Current Firm

KRS CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KRS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors