Michael C. Kettner

AVESTAR CAPITAL

NEW YORK, NY 10017

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CRD#: 2757656

Professional summary

Michael C Kettner, who also goes by Michael Campbell Kettner, is a registered financial advisor currently at AVESTAR CAPITAL, LLC located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 55 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Campbell Kettner

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.

MCK Wealth Management; Owner of the entity/personal DBA for tax purposes; 55 Randy lane, Plainview NY 11803; non-investment related; zero hours per week; Since January 2021

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael C Kettner'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®

None

Experience

Current

May 25, 2022 - Present

AVESTAR CAPITAL, LLC

Office #1: 400 Madison Avenue Floor 21, New York, NY 10017

RIA

CRD#: 287525

NEW YORK, NY

Past

April 20, 2016 - May 17, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Port Jefferson, NY

Past

July 15, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Port Jefferson, NY

Past

July 8, 2014 - May 17, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Port Jefferson, NY

Past

November 29, 2012 - July 18, 2014

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SYOSSET, NY

Past

November 29, 2012 - July 18, 2014

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SYOSSET, NY

Past

June 7, 2011 - November 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MELVILLE, NY

Past

May 24, 2011 - November 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MELVILLE, NY

Past

August 19, 2010 - February 16, 2011

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 22, 2008 - April 13, 2009

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

CRD#: 16139

NEW YORK, NY

Past

June 4, 1999 - August 1, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 28, 1996 - August 21, 1996

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

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".

AVESTAR CAPITAL, LLC

3A CAPITAL PARTNERS, LLC | PROJECT ELEPHANT | AVESTAR CAPITAL, LLC | 3ALPHA

CRD#: 287525 / SEC#: 801-110020

RIA

Registered Investment Advisory firm - (3/9/2017 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

New York
(5/25/2022)

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: 6/6/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/2/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2010

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/5/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 6/25/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 11/9/1999

NYSE Trading Assistant Examination

Current Firm

AVESTAR CAPITAL, LLC

3A CAPITAL PARTNERS, LLC | PROJECT ELEPHANT | AVESTAR CAPITAL, LLC | 3ALPHA

CRD#: 287525 / SEC#: 801-110020

RIA

Registered Investment Advisory firm - (3/9/2017 Approved)

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Contact information

Main Address

400 Madison Avenue Floor 21, New York, NY 10017

Mailing Address

Phone number

(212) 706-4140

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVESTAR CAPITAL & 3ALPHA ASSET MANAGEMENT COMBINED BROCHURE (4/17/2025)

Regulatory assets under management

Total Number of Accounts	194
AUM (Assets Under Management)	$ 1,531,369,044

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

Michael C. Kettner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael C Kettner's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROYCE INVESTMENT GROUP, INC.

Primary Firm SEC Registration

AVESTAR CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2011

Series 63

Date: 6/2/2008

SIE

Date: 10/1/2018

Series 7

Date: 9/7/2010

Series 3

Date: 9/5/2008

Series 55

Date: 6/25/2003

Series 25

Date: 11/9/1999

Current Firm

AVESTAR CAPITAL, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVESTAR CAPITAL, LLC

TRUST BUT VERIFY

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