Steven M. Kersey

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CRD#: 2033366

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.

Steven Merlin Kersey, CFP®, who also goes by Steven M Kersey, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 2, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steven M Kersey

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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Past

January 15, 2007 - August 5, 2021

CEF ADVISORS

RIA

CRD#: 115562

BELLINGHAM, WA

Past

May 28, 2004 - December 31, 2005

THE H GROUP, INC.

RIA

CRD#: 106801

BELLINGHAM, WA

Past

April 18, 2002 - May 23, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

OAK HARBOR, WA

Past

September 4, 2001 - May 23, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

August 8, 2000 - September 4, 2001

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

October 21, 1998 - August 3, 2000

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

January 3, 1996 - November 13, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

March 3, 1994 - December 31, 1995

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

January 8, 1992 - September 10, 1992

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

February 12, 1990 - April 24, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 12, 1990 - April 24, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

CEF ADVISORS

CEF ADVISORS | CLOSED-END FUND ADVISORS INC. | CLOSED-END FUND ADVISORS

CRD#: 115562 / SEC#: 801-113697

RIA

Registered Investment Advisory firm - (7/26/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/9/2015 Terminated)

Michigan

Registered Investment Advisory firm - (8/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/9/2018 Terminated)

Virginia

Registered Investment Advisory firm - (8/13/2018 Terminated)

Washington

Registered Investment Advisory firm - (9/9/2018 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/9/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/31/1996

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 1/11/1993

Non-Member General Securities Examination

General Industry/Product Exam

Series 6

Date: 2/9/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/1997

General Securities Principal Examination

Current Firm

CEF ADVISORS

CEF ADVISORS | CLOSED-END FUND ADVISORS INC. | CLOSED-END FUND ADVISORS

CRD#: 115562 / SEC#: 801-113697

RIA

Registered Investment Advisory firm - (7/26/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/9/2015 Terminated)

Michigan

Registered Investment Advisory firm - (8/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/9/2018 Terminated)

Virginia

Registered Investment Advisory firm - (8/13/2018 Terminated)

Washington

Registered Investment Advisory firm - (9/9/2018 Terminated)

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Contact information

Main Address

7204 Glen Forest Drive Suite #105, Richmond, VA 23226

Mailing Address

Phone number

(804) 288-2482

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (8/15/2025)

Regulatory assets under management

Total Number of Accounts	164
AUM (Assets Under Management)	$ 186,613,242

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.

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Advisor Monitoring

Firm Stability Insights

Steven M. Kersey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE H GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

CUNA BROKERAGE SERVICES, INC.

FSC SECURITIES CORPORATION

OSAIC FS, INC.

OSAIC FS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CEF ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1992

Series 63

Date: 2/12/1990

Series 7

Date: 1/31/1996

Series 2

Date: 1/11/1993

Series 6

Date: 2/9/1990

Series 24

Date: 1/2/1997

Current Firm

CEF ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CEF ADVISORS

TRUST BUT VERIFY

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