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RK

Robert B. Kelsey

Some features on this profile are disabled
CRD#: 1957522
RK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert B Kelsey, who also goes by Bob Kelsey, Robert Bemont Kelsey Jr, Robert Kelsey, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Kelsey | Robert Bemont Kelsey Jr | Robert Kelsey

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 25, 2021 - August 1, 2022

KELSEY FINANCIAL, LLC

RIA
CRD#: 314950
Denton, TX
Past

August 21, 2017 - December 31, 2017

WESTERN INTERNATIONAL SECURITIES, INC.

RIA
CRD#: 39262
Moorpark, CA
Past

August 21, 2017 - December 31, 2017

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Moorpark, CA
Past

November 3, 2014 - August 1, 2021

KELSEY FINANCIAL, LLC

RIA
CRD#: 171901
Brentwood, CA
Past

September 22, 2005 - January 14, 2011

KELSEY FINANCIAL

RIA
CRD#: 134682
THOUSAND OAKS, CA
Past

July 8, 1997 - August 21, 2017

FINANCIAL WEST GROUP

RIA
CRD#: 16668
Moorpark, CA
Past

April 30, 1991 - August 21, 2017

FINANCIAL WEST GROUP

BD
CRD#: 16668
Moorpark, CA
Past

October 31, 1990 - April 30, 1991

FINANCIAL WEST INVESTMENT GROUP

BD
CRD#: 17869
Past

June 20, 1989 - November 7, 1990

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 20, 1989 - November 7, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
KF
KELSEY FINANCIAL, LLC
KELSEY FINANCIAL, LLC

CRD#: 314950 / SEC#: 801-129004

RIA
Registered Investment Advisory firm - (1/30/2024 Approved)
California
Registered Investment Advisory firm - (6/25/2021 Approved)
Nevada
Registered Investment Advisory firm - (3/28/2023 Approved)
Oregon
Registered Investment Advisory firm - (1/28/2022 Approved)
Texas
Registered Investment Advisory firm - (9/9/2021 Conditional Restricted)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/2/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/9/2010
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/1991
General Securities Principal Examination

Current Firm

KF
KELSEY FINANCIAL, LLC
KELSEY FINANCIAL, LLC

CRD#: 314950 / SEC#: 801-129004

RIA
Registered Investment Advisory firm - (1/30/2024 Approved)
California
Registered Investment Advisory firm - (6/25/2021 Approved)
Nevada
Registered Investment Advisory firm - (3/28/2023 Approved)
Oregon
Registered Investment Advisory firm - (1/28/2022 Approved)
Texas
Registered Investment Advisory firm - (9/9/2021 Conditional Restricted)
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Contact information

Main Address
485 E. High Street, Moorpark, CA 93021
Mailing Address
Phone number
(833) 453-5739
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KELSEY FINANCIAL ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts263
AUM (Assets Under Management)$ 149,798,910

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.

Company Information

KELSEY FINANCIAL, LLC

CRD#: 314950

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