MK
Maxwell P. Keltner
DIVERSIFY ADVISORY SERVICES
San Jose, CA 95126
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CRD#: 4216279
MK
Professional summary
Maxwell P Keltner, CFP® is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in San Jose, California and DFPG INVESTMENTS, LLC located in San Jose, California.
Maxwell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Maxwell has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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. J Three Enterprises; Non-Investment Related; San Diego, CA; DBA of Professional Services and Payroll Company; CFO, Secretary; 10/2004; 95% during business hours; He assists an advisor who employs him with all of their businesses. He performs duties associated with facilitating their business. This is the DBA for the company he is an employee through. He is a paid employee and receives benefits.
2. Fixed Insurance; Non-Investment Related; San Diego, CA; Insurance; Staff for Broker; 12/2015; 5% during business hours; Help broker facilitate business
3. Maxwell P Keltner; Non-Investment Related; San Diego, CA; Living Trust and Will POA; Trustee/Executor/POA; 12/2012; 0% during business hours; Trustee, executor, POA of finances for sister and brother-in-law
CRS (Client Relationship Summary) - RIA
Click below to view Maxwell P Keltner'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®
Experience
Current
December 22, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 1764 The Alameda, San Jose, CA 95126RIA
CRD#: 326060
San Jose, CA
Current
December 16, 2015 - Present
DFPG INVESTMENTS, LLC
Office #1: 1764 The Alameda, San Jose, CA 95126BD
CRD#: 155576
San Jose, CA
Past
December 21, 2015 - December 31, 2023
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
San Diego, CA
Past
July 2, 2012 - December 21, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
CHESTERFIELD, MO
Past
March 4, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
San Diego, CA
Past
March 2, 2011 - December 18, 2015
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
San Diego, CA
Past
January 14, 2005 - November 23, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SAN DIEGO, CA
Past
July 14, 2000 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
SAN DIEGO, CA
Past
July 14, 2000 - November 23, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SAN DIEGO, CA
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 Approved)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.RR
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
RR
California(12/16/2015)
IAR
California(12/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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.
