Keith R. Brandt
KESTRA PRIVATE WEALTH SERVICES
Absaroee, MT
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CRD#: 1130422
Professional summary
Keith R Brandt, CFP®, who also goes by Keith Richard Brandt, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Absaroee, Montana and KESTRA INVESTMENT SERVICES, LLC located in San Diego, California.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Keith has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith Richard Brandt
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.
Business Name: CALIFORNIA WEALTH TRANSITIONS Investment Related: Yes Address: 3570 CARMEL MOUNTAIN OAD SUITE 150 SAN DIEGO CA 92030 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: CONSULTANT Start Date: 2/28/2014 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: financial planning, advice relative to Divorce planning, benefits analysis and asset valuations Business Name: THE BRANDT RANCH Investment Related: No Address: 134 TUTTLE LANE ABSOROKEE MT 59001 Nature of Business: Other Other/None of the Above Operating a ranch, we raise and sell hay and cattle Position, Title or Relationship: Owner Start Date: 12/31/2012 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Operating a ranch, we raise and sell hay and cattle
CRS (Client Relationship Summary) - RIA
Click below to view Keith R Brandt'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®
CFP®
Start date: 1986
Experience
Current
November 13, 2012 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #2: 3 Point Dr Ste 111, Brea, CA 92821Office #3: 5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735Office #4: 3570 Carmel Mountain Road Suite 150, San Diego, CA 92130RIA
CRD#: 155193
Absaroee, MT
Current
February 28, 2014 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3570 Carmel Mountain Road Suite 150, San Diego, CA 92130Office #2: 3 Pointe Drive Suite 111, Brea, CA 92821BD
CRD#: 42046
San Diego, CA
Past
January 23, 2013 - March 5, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
November 13, 2012 - March 5, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
July 8, 1997 - November 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RANCHO SANTA FE, CA
Past
May 26, 1983 - November 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RANCHO SANTA FE, 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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)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(9/26/2022)
RR
Arizona(2/28/2014)
RR
Arkansas(9/6/2023)
IAR
California(11/13/2012)
RR
California(2/28/2014)
RR
Colorado(10/3/2017)
RR
Connecticut(10/19/2020)
RR
Idaho(3/21/2016)
RR
Illinois(2/28/2014)
RR
Kentucky(2/28/2014)
RR
Maine(2/28/2014)
RR
Massachusetts(2/28/2014)
RR
Michigan(3/3/2021)
RR
Montana(2/28/2014)
IAR
Montana(5/29/2025)
RR
Nevada(6/25/2020)
RR
New Jersey(6/25/2020)
RR
New Mexico(6/8/2023)
RR
New York(1/20/2015)
RR
Oklahoma(2/28/2022)
RR
Oregon(2/28/2014)
RR
Pennsylvania(6/8/2023)
RR
South Dakota(1/21/2021)
RR
Utah(7/18/2023)
RR
Washington(3/3/2014)
RR
Wyoming(1/20/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/1/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
