Joseph K. Kessel

STONELIVING SECURITIES

West Palm Beach, FL

Some features on this profile are disabled

CRD#: 3084333

Professional summary

Joseph Keith Kessel, who also goes by Keith Kessel, is a registered financial professional currently at STONELIVING SECURITIES, LLC located in West Palm Beach, Florida.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 14, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith Kessel

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.

Kessel Law, PLLC I formed a law firm entity that may provide legal services. In an exercise of caution, I am disclosing it as a potential business activity, although it is not an "activity" at present, and, as such, is not an "Outside Business Activity"; it is merely an entity registration at this point. The name of the entity is Kessel Law PLLC. It is not investment-related. The address is 1090 Vermont Avenue, NW, Washington, DC, 20005, Attn: Corporation Service Company. Nature of business: legal services. My position: sole owner/lawyer. Title: lawyer/attorney at law; Managing Member. Start date: 4/15/2021. Approximate hours per month: 0. Number of hours during securities trading hours: 0. Duties: per the "Nature of the Business" disclosure above, the duties, if in fact activities were to occur, would be to provide legal services. If clients or duties were to be acquired, they would neither be related to my present employment with IFP Securities and IFP Advisors, nor clients of such firms, and would not occur during trading hours, and, in my assessment, would not present a conflict-of-interest. Kessel Advisory Services, LLC Kessel Advisory Services, LLC, registered in Wyoming, with the agent address-of-record being 30 N Gould St., Sheridan, WY 82801. There is no other physical address for this entity/business. The formation date was 7/2021. As a career lawyer and compliance professional, I advise, on a part-time basis, registered broker/dealers and investment advisers on compliance matters. As such, I established an entity, which is essentially designed to be my brand name under which I may and do provide advice and compliance services to such entities. I serve as the Managing Member/CEO and sole employee/owner for this entity. Any advice provided would be of a securities industry compliance nature, but could conceivably be broader than the securities industry. The entity is not investment-related. Estimated time devoted to the entity/business = 10 hours per month. I do not and would not provide advice during regular business/trading hours. Any such business would not be in relation to (i) my current employment with Independent Financial Partners ("IFP"), (ii) representatives of IFP or (iii) any party adverse to IFP. If any conflict were identified or arise, I would terminate any business/representation of Kessel Advisory Service, LLC that conflicts with IFP.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Keith Kessel's 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®

CRD#: 284172

SUMMIT, NJ

Past

July 9, 2020 - July 22, 2022

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

TAMPA, FL

Past

June 23, 2020 - July 22, 2022

CRD#: 289604

ST PETERSBURG, FL

Past

December 18, 2018 - February 18, 2019

INTE SECURITIES LLC

CRD#: 47107

BOCA RATON, FL

Past

March 22, 2017 - March 1, 2019

JDL SECURITIES CORPORATION

CRD#: 28131

NEWPORT BEACH, CA

Past

March 16, 2015 - March 1, 2019

J.DEREK LEWIS & ASSOCIATES, INC.

RIA

CRD#: 122307

ARRINGTON, VA

Past

March 13, 2015 - March 31, 2016

CRD#: 44734

NEW YORK, NY

Past

October 2, 1998 - June 1, 2001

AFS BROKERAGE, INC.

CRD#: 25924

AUSTIN, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STONELIVING SECURITIES, LLC

CRD#: 153565 / SEC#: , 8-68551

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

233 8th Street, West Palm Beach, FL 33401

Mailing Address

233 8th Street, West Palm Beach, FL 33401

Phone number

(312) 670-5900

Established

Delaware since 02/22/2010

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CHICAGO ATLANTIC BD HOLDINGS, LLC	OWNER
KESSEL, JOSEPH KEITH	CCO	3084333
MILES, STEPHEN JOHN	CEO, EXEC. REP, AMLCO	3093225
STEWART, SCOTT ALEXANDER	FINOP/POO/PFO	6977422

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph K. Kessel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Keith Kessel's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKPOINT SOLUTIONS, LLC

FENIMORE SECURITIES, INC.

LOCKTON RE CAPITAL MARKETS, LLC

IDX MARKETS, LLC

ETFMG FINANCIAL LLC

INDEPENDENT FINANCIAL PARTNERS

IFP SECURITIES, LLC

FAMILYWEALTH ASSET MANAGEMENT

FAMILYWEALTH

INVESTIFI SECURITIES LLC

INTE SECURITIES LLC

JDL SECURITIES CORPORATION

J.DEREK LEWIS & ASSOCIATES, INC.

TRANSCEND CAPITAL

JDL SECURITIES CORPORATION

GRADIENT ADVISORS, LLC

GRADIENT SECURITIES, LLC

MILKIE/FERGUSON INVESTMENTS, INC.

MILKIE/FERGUSON INVESTMENTS, INC.

JOLLIFFE CAPITAL, INC.

ALPS DISTRIBUTORS, INC.

AFS BROKERAGE, INC.

AFS BROKERAGE, INC.

PARETO SECURITIES INC.

AFS BROKERAGE, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/2006

Series 63

Date: 7/31/1998

SIE

Date: 10/1/2018

Series 14

Date: 1/2/2023

Series 53

Date: 5/26/1999

Series 4

Date: 4/6/1999

Series 24

Date: 7/7/1998

FINRA

Current Firm

STONELIVING SECURITIES, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STONELIVING SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors