Robert S. Kelling

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CRD#: 266818

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 Somerville Kelling was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1965. Robert had worked at 3 firms and has passed the Series 63, Series 1, Series 27 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

July 21, 2010 - April 9, 2012

TATE PRIVATE WEALTH ADVISERS

RIA

CRD#: 120938

SACRAMENTO, CA

Past

March 23, 1983 - March 16, 1988

KELLING, NORTHCROSS & NOBRIGA INCORPORATED

CRD#: 13435

SAN FRANCISCO, CA

Past

April 30, 1965 - October 5, 1981

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

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".

TATE PRIVATE WEALTH ADVISERS

TALMONT ADVISORS | TPBS CAPITAL MANAGEMENT | TATE, PROPP, BEGGS & SUGIMOTO, AN ACCOUN | TATE WEALTH MANAGEMENT | TATE PRIVATE WEALTH ADVISERS

CRD#: 120938 / SEC#: 801-63712

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

California

Registered Investment Advisory firm - (7/18/2005 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

Series 63

Date: 6/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 4/28/1965

Registered Representative Examination

Principal/Supervisory Exam

Series 27

Date: 9/15/1984

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 00

Date: 4/30/1973

General Securities Principal Examination

Current Firm

TATE PRIVATE WEALTH ADVISERS

TALMONT ADVISORS | TPBS CAPITAL MANAGEMENT | TATE, PROPP, BEGGS & SUGIMOTO, AN ACCOUN | TATE WEALTH MANAGEMENT | TATE PRIVATE WEALTH ADVISERS

CRD#: 120938 / SEC#: 801-63712

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

California

Registered Investment Advisory firm - (7/18/2005 Terminated)

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Contact information

Main Address

1545 River Park Drive Suite 375, Sacramento, CA 95815-4614

Mailing Address

Phone number

(916) 678-7674

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TATE PRIVATE WEALTH ADVISERS (3/29/2025)

Regulatory assets under management

Total Number of Accounts	442
AUM (Assets Under Management)	$ 288,497,342

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2023	Cover Page	Report
11/23/2022	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.

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Robert S. Kelling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KELLING, NORTHCROSS & NOBRIGA INCORPORATED

NUVEEN SECURITIES, LLC

Primary Firm SEC Registration

TATE PRIVATE WEALTH ADVISERS

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/1995

Series 1

Date: 4/28/1965

Series 27

Date: 9/15/1984

Series 00

Date: 4/30/1973

Current Firm

TATE PRIVATE WEALTH ADVISERS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TATE PRIVATE WEALTH ADVISERS

TRUST BUT VERIFY

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