Russell W. Ketron

KETRON FINANCIAL LLC

NOVATO, CA 94945

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CRD#: 268772

Professional summary

Russell Wayne Ketron, CFP® is a registered financial advisor currently at KETRON FINANCIAL LLC located in Novato, California.

Russell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Russell has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.

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.

Ketron Financial, LLC., 1500 Grant Avenue, Ste 238, Novato, CA 94945 IRIA, DBA, June 2024 to present, 40 hours per month, 20 hours during trading, Consultant-IAR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Wayne Ketron's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1977

Experience

Current

July 1, 2024 - Present

KETRON FINANCIAL LLC

Office #1: 1500 Grant Ave Ste 238, Novato, CA 94945

RIA

CRD#: 330807

NOVATO, CA

Past

October 11, 2016 - December 31, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Novato, CA

Past

June 17, 2016 - January 31, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Novato, CA

Past

November 1, 1995 - July 19, 2016

PROTECTED INVESTORS OF AMERICA

RIA

CRD#: 6082

Novato, CA

Past

October 3, 1979 - July 28, 1980

PORTFOLIO STRATEGIES, INC.

CRD#: 6455

Past

June 6, 1978 - June 17, 2016

PROTECTED INVESTORS OF AMERICA

CRD#: 6082

NOVATO, CA

Past

January 6, 1977 - July 9, 1978

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

Past

February 23, 1975 - January 6, 1977

PUTNAM FUND DISTRIBUTORS, INC

CRD#: 6878

Past

October 7, 1969 - February 23, 1975

PUTNAM FINANCIAL SERVICES, INC.

CRD#: 602

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".

KETRON FINANCIAL LLC

CRD#: 330807 / SEC#: 801-130222

RIA

Registered Investment Advisory firm - (5/6/2024 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.

Highlighted states indicate IAR registrations

IAR

California
(7/1/2024)

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

IAR

Series 65

Date: 8/3/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/2/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 10/31/1978

Registered Principal Examination

Current Firm

KETRON FINANCIAL LLC

CRD#: 330807 / SEC#: 801-130222

RIA

Registered Investment Advisory firm - (5/6/2024 Approved)

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Contact information

Main Address

1500 Grant Ave Ste 238, Novato, CA 94945

Mailing Address

Phone number

(415) 892-0928

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A KETRON FINANCIAL LLC (1/16/2025)

Regulatory assets under management

Total Number of Accounts	680
AUM (Assets Under Management)	$ 300,000,000

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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Advisor Monitoring

Firm Stability Insights

Russell W. Ketron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Wayne Ketron's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

PROTECTED INVESTORS OF AMERICA

PORTFOLIO STRATEGIES, INC.

PROTECTED INVESTORS OF AMERICA

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

PUTNAM FUND DISTRIBUTORS, INC

PUTNAM FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

KETRON FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/1995

Series 63

Date: 3/9/1990

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 10/2/1969

Series 24

Date: 1/2/2023

Series 40

Date: 10/31/1978

Current Firm

KETRON FINANCIAL LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KETRON FINANCIAL LLC

TRUST BUT VERIFY

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