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DK

Deanne S. Keck

CRD#: 2311153
Some features on this profile are disabled
DK
Deanne Sims Keck

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.

Deanne Sims Keck, who also goes by Deanne Dennis, Deanne Suzette Finn, Deanne Finn, Deanne Sims, was a registered financial professional .

Deanne is a previously registered financial professional and started their career in finance in 1997. Deanne had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Deanne Dennis | Deanne Suzette Finn | Deanne Finn | Deanne Sims

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

May 7, 2021 - December 31, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
ST. LOUIS, MO
Past

May 7, 2021 - December 31, 2025

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
ST. LOUIS, MO
Past

July 2, 2020 - February 24, 2021

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
St. Louis, MO
Past

June 25, 2020 - February 24, 2021

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
St. Louis, MO
Past

May 8, 2017 - June 26, 2020

MORGAN STANLEY

RIA
CRD#: 149777
ST. LOUIS, MO
Past

May 8, 2017 - June 26, 2020

MORGAN STANLEY

BD
CRD#: 149777
ST. LOUIS, MO
Past

April 13, 2016 - November 8, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
EVANSVILLE, IN
Past

April 12, 2016 - November 8, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
EVANSVILLE, IN
Past

November 2, 2015 - April 8, 2016

INVESTMENT CENTERS OF AMERICA, INC.

RIA
CRD#: 16443
Evansville, IN
Past

November 2, 2015 - April 8, 2016

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
Evansville, IN
Past

November 4, 2013 - November 6, 2015

INVESTMENT PROFESSIONALS, INC.

RIA
CRD#: 30184
EVANSVILLE, IN
Past

November 4, 2013 - November 6, 2015

INVESTMENT PROFESSIONALS, INC.

BD
CRD#: 30184
EVANSVILLE, IN
Past

May 18, 2007 - November 8, 2013

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
EVANSVILLE, IN
Past

April 20, 2005 - November 8, 2013

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
EVANSVILLE, IN
Past

February 2, 2005 - April 14, 2005

FIDUCIAL INVESTMENT ADVISORS, INC.

BD
CRD#: 44792
COLUMBIA, MD
Past

November 26, 2004 - February 5, 2005

BROAD STREET CAPITAL MARKETS, LLC

BD
CRD#: 104026
HOLMDEL, NJ
Past

June 13, 2000 - November 12, 2002

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

March 29, 1999 - June 16, 2000

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

March 3, 1999 - March 16, 1999

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
Past

August 6, 1997 - March 3, 1999

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

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
RR
IAR
Series 66
Date: 2/8/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/1997
General Securities Representative Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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