Keith Mesecher

MESECHER, KEITH

San Diego, CA

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CRD#: 2533313

Professional summary

Keith Mesecher is a registered financial advisor currently at MESECHER, KEITH located in San Diego, California.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Keith has worked at 2 firms and has passed the Series 2 exam.

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.

Spiritual advising 2-4 hours a week. Administrative work for an individual which does not include investment advice. 1 hour per week. Keith Mesecher is an investment advisor representative dually-registered in California as a sole proprietor and with another registered investment advisor, Thrive Portfolios. Keith Mesecher's sole proprietorship is not affiliated with Thrive Portfolios Inc. Approx 40% of Mr. Mesecher's time is spent on this business. There will not be any crossover clients. MESECHER, KEITH; INVESTMENT-RELATED; SAN DIEGO, CA 92114; REGISTERED INVESTMENT ADVISOR; SOLE-PROPRIETOR/INVESTMENT ADVISOR REPRESENTATIVE; 09/2013; Approximately 60% of Mr. Mesecher's time is spent on this business. There will not be any crossover clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Mesecher'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®

None

Experience

Current

April 26, 2021 - Present

MESECHER, KEITH

RIA

CRD#: 119404

San Diego, CA

Past

June 15, 2021 - April 11, 2023

THRIVE PORTFOLIOS

RIA

CRD#: 314414

SAN DIEGO, CA

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

California
(4/26/2021)

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

General Industry/Product Exam

Series 2

Date: 8/16/1994

Non-Member General Securities Examination

Current Firm

MESECHER, KEITH

CRD#: 119404 / SEC#:

California

Registered Investment Advisory firm - (10/21/1994 Approved)

Texas

Registered Investment Advisory firm - (11/21/2012 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).

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Contact information

Main Address

San Diego, CA

Mailing Address

Phone number

(619) 263-2165

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 48,000,000

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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Keith Mesecher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Mesecher's CRS (Customer Relationship Summary).

Certified licenses

Experience

MESECHER, KEITH

THRIVE PORTFOLIOS

State Registrations and Notice Filings

Exams

Series 2

Date: 8/16/1994

Current Firm

MESECHER, KEITH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MESECHER, KEITH

TRUST BUT VERIFY

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