KK
Kevin D. Keller
DELTA INVESTMENT MANAGEMENT
Catawba, SC
Some features on this profile are disabled
CRD#: 1704074
KK
Professional summary
Kevin Dean Keller is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in Catawba, South Carolina.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Kevin has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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.
NorthStar Financial and Retirement Planning; investment related; 2550 Landsford Road, Catawba, SC 29704a; Insurance; Insurance Advisor; started 02/2018; 100 hours/month devoted; 75 hours/month devoted during securities trading hours; sale of insurance and investment advisory services. KP Farms; non investment related; 2880 Sweet Hope Church Rd., Carlisle, SC 29031; Timber Farm; Owner; started 12/2001; 20 hours/month devoted; 2 hours/month devoted during securities trading hours; road maintenance and wildlife maintenance. Keller Carolina Realty Group; investment related; 3430 Toringdon Way, Charlotte, NC 28277; real estate sales; Business and Marketing Manager; started 02/2018; 50 hours/month devoted; 20 hours/month devoted during securities trading hours; marketing and business management for wife's real estate firm. Carolina Piedmont Investments, LLC; investment related; address 2253 Masons Bend Drive, Fort Mill SC 29708; real property investments; Managing Member (1/3rd ownership); started 08/2023; 12 hours/month devoted; 2 hours/month devoted during securities trading hours; marketing and business management.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Dean 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
August 12, 2021 - Present
DELTA INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 149596
Catawba, SC
Past
April 11, 2019 - August 11, 2021
DELTA INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 149596
Charlotte, NC
Past
September 27, 2018 - April 11, 2019
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
CHARLOTTE, NC
Past
September 27, 2018 - April 11, 2019
BROOKSTONE ASSET MANAGEMENT, LLC
RIA
CRD#: 153467
Charlotte, NC
Past
September 6, 2013 - January 24, 2018
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
May 4, 2011 - November 1, 2011
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
BD
CRD#: 8494
ST. PETERSBURG, FL
Past
June 12, 2007 - December 14, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
CHARLOTTE, NC
Past
January 6, 2006 - March 20, 2007
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CHARLOTTE, NC
Past
September 21, 2005 - January 3, 2006
SOUTHEAST INVESTMENTS, N.C., INC.
BD
CRD#: 43035
CHARLOTTE, NC
Past
December 18, 2002 - December 6, 2004
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
November 19, 2002 - December 6, 2002
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
March 11, 2002 - November 5, 2002
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
May 17, 1999 - May 9, 2001
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
September 25, 1992 - May 9, 2001
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, 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".
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 Terminated)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
South Carolina(8/12/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 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
708 Montgomery Street, San Francisco, CA 94111
Mailing Address
204 E. 2nd Avenue, #906, San Mateo, CA 94401
Phone number
(415) 249-6337
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 770,787,222 |
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.
