Seth T. Kelley

OASIS ADVISORS

Nashville, TN

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CRD#: 4166897

Professional summary

Seth Thomas Kelley, who also goes by Seth T Kelley, is a registered financial advisor currently at OASIS ADVISORS located in Nashville, Tennessee and CAPE SECURITIES INC. located in Mcdonough, Georgia.

Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Seth has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Seth T Kelley

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) INSURANCE SALES; INVESTMENT RELATED; APPX 10% OF TIME DURING THE MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Thomas Kelley'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

June 3, 2025 - Present

OASIS ADVISORS

RIA

CRD#: 335555

Nashville, TN

Current

November 9, 2023 - Present

CAPE SECURITIES INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253

CRD#: 7072

Mcdonough, GA

Past

July 7, 2022 - November 6, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Nashville, TN

Past

January 3, 2008 - June 24, 2022

PFS INVESTMENTS INC.

CRD#: 10111

MOUNT JULIET, TN

Past

June 21, 2000 - December 31, 2007

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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.

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.

Visual representation of state registrations

California
(11/9/2023)

Florida
(11/9/2023)

Georgia
(11/9/2023)

Illinois
(11/9/2023)

Indiana
(11/9/2023)

Kentucky
(11/9/2023)

Massachusetts
(11/9/2023)

Missouri
(11/26/2024)

New Jersey
(10/23/2024)

North Carolina
(11/9/2023)

Ohio
(11/11/2023)

Pennsylvania
(11/9/2023)

South Carolina
(5/15/2024)

Tennessee
(11/9/2023)

IAR

Tennessee
(6/3/2025)

Washington
(11/9/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/24/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/20/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/19/2004

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OASIS ADVISORS

OASIS ADVISORS | OASIS ADVISORS, LLC

CRD#: 335555 / SEC#: 801-132394

RIA

Registered Investment Advisory firm - (4/11/2025 120-Day Approval)

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Contact information

Main Address

136 S 4th Street, Forest City, IA 50436

Mailing Address

Phone number

(641) 251-6001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - OASIS ADVISORS (10/22/2025)

Regulatory assets under management

Total Number of Accounts	1,867
AUM (Assets Under Management)	$ 239,311,393

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

Seth T. Kelley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Thomas Kelley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPE SECURITIES INC.

PURSHE KAPLAN STERLING INVESTMENTS

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/2025

Series 63

Date: 8/31/2000

SIE

Date: 10/1/2018

Series 6

Date: 6/20/2000

Series 26

Date: 11/19/2004

FINRA

Current Firm

OASIS ADVISORS

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OASIS ADVISORS

TRUST BUT VERIFY

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