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DK

David L. Kelson

Some features on this profile are disabled
CRD#: 2675352
DK

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.

David Lauren Kelson was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

August 23, 2010 - February 29, 2012

NORTH STAR INVESTMENT MANAGEMENT CORPORATION

RIA
CRD#: 117681
CHICAGO, IL
Past

August 13, 2002 - March 17, 2004

PIPER SANDLER & CO.

RIA
CRD#: 665
CHICAGO, IL
Past

August 12, 2002 - March 17, 2004

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

June 30, 2000 - August 19, 2002

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

May 8, 1998 - July 7, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

January 1, 1996 - June 4, 1998

WILLIAM BLAIR

BD
CRD#: 1252
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".
NS
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
GOTTLIEB INVESTMENT MANAGEMENT CORPORATION | NORTH STAR INVESTMENT MANAGEMENT CORPORATION | NORTH STAR FINANCIAL SERVICES CORP. | KUBY GOTTLIEB INVESTMENT ADVISORS, LTD.

CRD#: 117681 / SEC#: 801-62013

RIA
Registered Investment Advisory firm - (4/28/2003 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: 4/10/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/1995
General Securities Representative Examination

Current Firm

NS
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
GOTTLIEB INVESTMENT MANAGEMENT CORPORATION | NORTH STAR INVESTMENT MANAGEMENT CORPORATION | NORTH STAR FINANCIAL SERVICES CORP. | KUBY GOTTLIEB INVESTMENT ADVISORS, LTD.

CRD#: 117681 / SEC#: 801-62013

RIA
Registered Investment Advisory firm - (4/28/2003 Approved)
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Contact information

Main Address
20 N. Wacker Drive Suite 1416, Chicago, IL 60606-2902
Mailing Address
Phone number
(312) 580-0900
Established
Firm type
Fiscal year end
# of Employees
29

SEC notice filing (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NSIMC FORM ADV PART 2A (2025 MARCH) WRAP (3/24/2025)
BROCHURE SUPPLEMENT - MATTHEW SCHWERIN (2025 MARCH) (3/24/2025)
BROCHURE SUPPLEMENT - KUBY (2025 MARCH) (3/24/2025)
BROCHURE SUPPLEMENT - EGAN (2025 MARCH) (3/24/2025)
BROCHURE SUPPLEMENT - GOTTLIEB (2025 MARCH) (3/24/2025)
BROCHURE SUPPLEMENT - COHEN (2025 MARCH) (3/24/2025)
BROCHURE SUPPLEMENT - CAHAN (2025 MARCH) (3/24/2025)
NSIMC FORM ADV PART 2A (2025 MARCH) NON-WRAP (3/24/2025)
BROCHURE SUPPLEMENT - MAZURSKY (2025 MARCH) (3/24/2025)
NSIMC - FORM ADV PART 2B (2025 MARCH) PAPENHAGEN (3/24/2025)
NSIMC - FORM ADV PART 2B (2025 MARCH) PETRULEAS (3/24/2025)
NSIMC - FORM ADV PART 2B (2025 MARCH) COLIN SCHWERIN (3/24/2025)
BROCHURE SUPPLEMENT - DIAMOND (2025 MARCH) (3/24/2025)

Regulatory assets under management

Total Number of Accounts2,532
AUM (Assets Under Management)$ 2,280,660,353

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/21/2024
Cover Page
Report
08/28/2023
Cover Page
Report
09/27/2022
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.

Company Information

NORTH STAR INVESTMENT MANAGEMENT CORPORATION

CRD#: 117681

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