Carol E. York

KEYSTONE PRIVATE WEALTH

Palm Desert, CA 92260

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CRD#: 2787027

Professional summary

Carol Emma York, CFP® is a registered financial advisor currently at KEYSTONE PRIVATE WEALTH located in Palm Desert, California.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Carol has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

FIXED INSURANCE; INVESTMENT RELATED. 73575 EL PASEO, SUITE 2300, PALM DESERT, CA 92260; FIXED INSURANCE; INSURANCE AGENT; START 09/2019; APPROX 10 HOURS PER MONTH; APPROX 0 HOURS PER MONTH DURING TRADING HOURS; PROVIDE CLIENTS WITH FIXED LIFE INSURANCE AND ANNUITY SOLUTIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Emma York'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: 2004

Experience

Current

June 16, 2021 - Present

KEYSTONE PRIVATE WEALTH

Office #1: 73575 El Paseo Suite 2300, Palm Desert, CA 92260

RIA

CRD#: 301924

Palm Desert, CA

Past

September 27, 2019 - September 24, 2021

CYPRESS WEALTH SERVICES, LLC

RIA

CRD#: 288992

PALM DESERT, CA

Past

July 13, 2018 - June 7, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 6321

MINNEAPOLIS, MN

Past

September 25, 1996 - November 3, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BRIDGTON, ME

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".

KEYSTONE PRIVATE WEALTH

CYPRESS PRIVATE WEALTH | KEYSTONE WEALTH SERVICES, LLC | KEYSTONE PRIVATE WEALTH

CRD#: 301924 / SEC#: 801-121495

RIA

Registered Investment Advisory firm - (6/22/2021 Approved)

California

Registered Investment Advisory firm - (7/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2021 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.

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
(6/16/2021)

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 66

Date: 12/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/30/1996

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: 9/24/1996

General Securities Representative Examination

Current Firm

KEYSTONE PRIVATE WEALTH

CYPRESS PRIVATE WEALTH | KEYSTONE WEALTH SERVICES, LLC | KEYSTONE PRIVATE WEALTH

CRD#: 301924 / SEC#: 801-121495

RIA

Registered Investment Advisory firm - (6/22/2021 Approved)

California

Registered Investment Advisory firm - (7/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2021 Terminated)

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Contact information

Main Address

73575 El Paseo Suite 2300, Palm Desert, CA 92260

Mailing Address

Phone number

(760) 818-7020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/24/2025)

Regulatory assets under management

Total Number of Accounts	1,308
AUM (Assets Under Management)	$ 692,123,348

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

Carol E. York

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Emma York's CRS (Customer Relationship Summary).

Certified licenses

Experience

CYPRESS WEALTH SERVICES, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KEYSTONE PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2002

Series 63

Date: 9/30/1996

SIE

Date: 10/1/2018

Series 7

Date: 9/24/1996

Current Firm

KEYSTONE PRIVATE WEALTH

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYSTONE PRIVATE WEALTH

TRUST BUT VERIFY

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