DK
D. B. Keefe
KESTRA ADVISORY SERVICES
ENCINO, CA 91316
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CRD#: 265938
DK
Professional summary
D. Bruce Keefe, who also goes by Bruce Keefe, Donald Bruce Keefe, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Encino, California and KESTRA INVESTMENT SERVICES, LLC located in Encino, California.
D. is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. D. has worked at 5 firms and has passed the SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bruce Keefe | Donald Bruce Keefe
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.
Business Name: FMS Financial Partners, Inc. Investment Related: Yes Address: 7660 Fay Avenue, Ste H228 La Jolla CA 92037 Nature of Business: Consulting; Insurance; Mortgage Related; Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Senior Advisor Start Date: 7/15/1974 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Advise clients on insurance, investments, and tax planning Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services
CRS (Client Relationship Summary) - RIA
Click below to view D. Bruce Keefe'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
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 6345 Balboa Blvd., Suite 290, Encino, CA 91316RIA
CRD#: 283330
ENCINO, CA
Current
June 2, 2000 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6345 Balboa Blvd., Suite 290, Encino, CA 91316BD
CRD#: 42046
Encino, CA
Past
October 16, 2002 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ENCINO, CA
Past
May 10, 1991 - June 14, 2000
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
July 6, 1984 - May 6, 1991
FMS SECURITIES, INC.
BD
CRD#: 14356
Past
August 1, 1974 - July 10, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/2/2000)
IAR
California(4/21/2016)
RR
Colorado(5/15/2007)
Exams
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/25/1974
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
