Kelly Stecklein
THE INSTITUTE
Golden, CO 80401
Some features on this profile are disabled
CRD#: 4201342
Professional summary
Kelly Stecklein, CFP®, who also goes by Kelly Lyn Stecklein, is a registered financial advisor currently at THE INSTITUTE located in Golden, Colorado.
Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Kelly has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelly Lyn Stecklein
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERED LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 11/2013,
APX NUMBER OF HOURS PER WEEK: VARIES,
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES,
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE;
2. NAME OF OTHER BUSINESS: STECKLEIN MOUNTAIN PROPERTIES,
INVESTMENT RELATED: NO,
ADDRESS: 1186 PRESERVE CIRCLE GOLDEN CO 80401,
NATURE OF BUSINESS: REAL ESTATE RENTAL PROPERTY,
START DATE: 11/2008,
APX NUMBER OF HOURS PER WEEK: 2,
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES,
BRIEF DESCRIPTION OF DUTIES: CO-OWNER OF RENTAL PROPERTY, MAINTAINING BOOKS, TENANTS AND PROPERTY MANAGEMENT;
3. NAME OF OTHER BUSINESS: DBA WEALTH EVOLUTION GROUP;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL SERVICES;
START DATE: 02/15/2017;
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR;
APX NUMBER OF HOURS PER WEEK: 30 HOURS;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES AND LIFE INSURANCE.
4. NAME OF OTHER BUSINESS: STECKLEIN IRREVOCABLE LIFE INSURANCE TRUST,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERED LOCATION,
NATURE OF BUSINESS: TRUSTEE,
START DATE: 11/2009,
APX NUMBER OF HOURS PER WEEK: VARIES,
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES,
BRIEF DESCRIPTION OF DUTIES: TRUSTEE FOR IMMEDIATE FAMILY MEMBERS;
5. HINDS FINANCIAL GROUP,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
OUTSIDE RIA - ADVISORY BUSINESS,
START 01/22/2014,
VARIOUS HRS/WK (TRADING HOURS),
ADVISORY REPRESENTATIVE;
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Stecklein'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®
CFP®
Start date: 2008
Experience
Current
June 16, 2020 - Present
THE INSTITUTE
Office #1: 14143 Denver West Pkwy Suite 100, Golden, CO 80401Office #2: Po Box 300, Frisco, CO 80443RIA
CRD#: 127207
Golden, CO
Past
January 6, 2014 - July 14, 2020
HINDS FINANCIAL GROUP INC
RIA
CRD#: 129971
LAKEWOOD, CO
Past
December 2, 2013 - June 11, 2020
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
GOLDEN, CO
Past
December 2, 2013 - June 11, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
GOLDEN, CO
Past
July 29, 2008 - December 2, 2013
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
GOLDEN, CO
Past
July 29, 2008 - December 2, 2013
SECURITIES AMERICA, INC.
BD
CRD#: 10205
GOLDEN, CO
Past
November 19, 2004 - August 26, 2008
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
DENVER, CO
Past
November 19, 2004 - August 26, 2008
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
DENVER, CO
Past
November 26, 2001 - January 21, 2003
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ASPEN, CO
Past
July 24, 2001 - January 21, 2003
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
August 25, 2000 - March 13, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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".
TI
THE INSTITUTE
CARLSON FINANCIAL SERVICES, LLC | YURICA WEALTH MANAGMENT | WEALTH EVOLUTION GROUP | VALUEWEALTH SERVICES, LLC | THE INSTITUTE | RETIREMENT RISK ADVISORS | PLATINUM WEALTH MANAGEMENT, LLC | MADISON PARK ADVISORS | MADISON PARK ADVISOR | INSTITUTE FOR WEALTH MANAGEMENT LLC | INSTITUTE FOR WEALTH | HOBSON FINANCIAL | HF ADVISORY GROUP | EWEALTH CONSULTING | COLORADO INSTITUTE FOR WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT
CRD#: 127207 / SEC#: 801-67624
RIA
Registered Investment Advisory firm - (3/7/2007 Approved)Colorado
Registered Investment Advisory firm - (4/3/2007 Terminated)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
Colorado(6/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TI
THE INSTITUTE
CARLSON FINANCIAL SERVICES, LLC | YURICA WEALTH MANAGMENT | WEALTH EVOLUTION GROUP | VALUEWEALTH SERVICES, LLC | THE INSTITUTE | RETIREMENT RISK ADVISORS | PLATINUM WEALTH MANAGEMENT, LLC | MADISON PARK ADVISORS | MADISON PARK ADVISOR | INSTITUTE FOR WEALTH MANAGEMENT LLC | INSTITUTE FOR WEALTH | HOBSON FINANCIAL | HF ADVISORY GROUP | EWEALTH CONSULTING | COLORADO INSTITUTE FOR WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT
CRD#: 127207 / SEC#: 801-67624
RIA
Registered Investment Advisory firm - (3/7/2007 Approved)Colorado
Registered Investment Advisory firm - (4/3/2007 Terminated)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
9878 W. Belleview Ave. #2306, Denver, CO 80123
Mailing Address
Phone number
(303) 572-3500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,848 |
| AUM (Assets Under Management) | $ 1,154,643,475 |
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
THE INSTITUTE
CRD#: 127207Golden, CO 80401TRUST BUT VERIFY
Monitor Kelly Stecklein
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
