Kelly D. Steele
Professional summary
Kelly Dean Steele is a registered financial advisor currently at OSAIC WEALTH, INC. located in Cedar Rapids, Iowa.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kelly has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Dean Steele's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kelly Dean Steele's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 425 Second Street Se Suite 365, Cedar Rapids, IA 52401November 2, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 425 Second Street Se Suite 365, Cedar Rapids, IA 52401March 20, 2017 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
June 11, 2003 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 24, 2001 - May 29, 2003
PRINCIPAL SECURITIES, INC.
July 17, 2000 - October 15, 2001
EDWARD JONES
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/13/2024)
(9/9/2020)
(2/20/2024)
(11/2/2018)
(9/17/2020)
(11/2/2018)
(11/1/2022)
(11/2/2018)
(11/2/2018)
(8/30/2024)
(11/2/2018)
(4/30/2020)
(6/17/2025)
(9/9/2020)
(9/9/2020)
(5/25/2021)
Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
Company Information
OSAIC WEALTH, INC.
CRD#: 23131Cedar Rapids, IA 52401TRUST BUT VERIFY
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