Nathan A. Bay

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CRD#: 3035915

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.

Nathan Aaron Bay was a registered financial professional .

Nathan is a previously registered financial professional and started their career in finance in 1998. Nathan had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

1) 06/07/2023 - Keystone Financial Group - DBA for LPL Business (entity for LPL business) - Investment related - 160 Hours per month - At reported business location(s). 2) 06/07/2023 - Landlord - Real Estate Rental - Owner of Real Estate Rental - Investment related - 10 Hours per month - Start date: 06/01/2015 3) 06/20/2023 - Keystone Financial Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 06/12/2023 - 160 Hours Per Month/ 40 Hours Per Month - Time Spent 100% - I provide investment advisory services through Keystone Financial Group, LLC, an independent investment advisor firm. I started this business activity in 6/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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

June 13, 2023 - April 1, 2025

KEYSTONE FINANCIAL GROUP, LLC

RIA

CRD#: 170201

LEXINGTON, KY

Past

June 13, 2023 - May 20, 2025

LPL FINANCIAL LLC

CRD#: 6413

LEXINGTON, KY

Past

December 10, 2018 - June 16, 2023

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Lexington, KY

Past

December 10, 2018 - June 16, 2023

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Lexington, KY

Past

December 7, 2015 - December 11, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Lexington, KY

Past

November 17, 2015 - December 11, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Lexington, KY

Past

May 18, 2001 - July 11, 2003

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

April 16, 1998 - August 18, 1999

BANC ONE SECURITIES CORPORATION

CRD#: 16999

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".

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 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.

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: 12/7/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/9/1998

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: 11/17/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/9/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

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Contact information

Main Address

527 Wellington Way, Ste 225, Lexington, KY 40503

Mailing Address

Phone number

(859) 317-8316

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A (3/25/2025)

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A APPENDIX 1 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,153
AUM (Assets Under Management)	$ 1,858,938,537

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

Nathan A. Bay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

FIFTH THIRD SECURITIES, INC.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

KEYSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/7/2015

Series 63

Date: 4/9/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/17/2015

Series 6

Date: 4/9/1998

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYSTONE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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