Keith R. Nielsen

WATERLOO CAPITAL

WACO, TX 76710

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CRD#: 2814298

Professional summary

Keith Ronan Nielsen, who also goes by Hap Nielsen, is a registered financial advisor currently at WATERLOO CAPITAL located in Waco, Texas.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Keith has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hap Nielsen

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.

(1) PETE SESSION FOR CONGRESS POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2021 ADDRESS: 1512 Lake Air Dr., Ste. 110, Waco TX 76710, United States DESCRIPTION: Political committee to consult candidate, members on outreach, discuss allocation of campaign funds (2) HAP NIELSEN INVESTMENTS POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 130 START DATE: 05/21/2011 ADDRESS: 1512 Lake Air Dr., Ste. 110, Waco TX 76710, United States DESCRIPTION: DBA used for advisory business (3) Hap Nielsen Group POSITION: Agent/Representative NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/12/1997 ADDRESS: 1512 Lake Air Dr., Ste. 110, Waco TX 76710, United States DESCRIPTION: Insurance Agent (4) ACTS of the Holy Spirit Core Member Assist in planning church retreats Since 09/2023 Not Investment Related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Ronan Nielsen'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

September 19, 2023 - Present

WATERLOO CAPITAL

Office #1: 1512 Lake Air Drive Suite 110, Waco, TX 76710

RIA

CRD#: 30108

WACO, TX

Past

May 21, 2001 - August 3, 2001

SERVICE ASSET MANAGEMENT COMPANY

CRD#: 47157

AUSTIN, TX

Past

April 17, 1998 - June 4, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 1, 1997 - April 22, 1998

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 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

Texas
(9/19/2023)

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: 1/2/1997

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: 12/30/1996

General Securities Representative Examination

Current Firm

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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Contact information

Main Address

2801 Via Fortuna Suite 250, Austin, TX 78746

Mailing Address

Phone number

(512) 777-5900

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

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)

WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts	6,775
AUM (Assets Under Management)	$ 1,686,618,820

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

Keith R. Nielsen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Ronan Nielsen's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

REGAL ADVISORY SERVICES, INC.

REGAL SECURITIES, INC.

SAMCO FINANCIAL SERVICES, INC.

SAMCO FINANCIAL SERVICES, INC.

SERVICE ASSET MANAGEMENT COMPANY

UBS FINANCIAL SERVICES INC.

EDWARD JONES

Primary Firm SEC Registration

WATERLOO CAPITAL

State Registrations and Notice Filings

Exams

Series 63

Date: 1/2/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/30/1996

Current Firm

WATERLOO CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERLOO CAPITAL

TRUST BUT VERIFY

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