Keith G. Lister

NORTHSIDE CAPITAL MANAGEMENT

San Mateo, CA 94402

CRD#: 4327558

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Professional summary

Keith George Lister is a registered financial advisor currently at NORTHSIDE CAPITAL MANAGEMENT LLC located in San Mateo, California.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Keith has worked at 3 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith George Lister'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 5, 2026 - Present

NORTHSIDE CAPITAL MANAGEMENT LLC

Office #1: 400 South El Camino Real, San Mateo, CA 94402

RIA

CRD#: 107784

San Mateo, CA

Past

July 10, 2010 - September 17, 2025

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SAN FRANCISCO, CA

Past

August 9, 2001 - July 16, 2010

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, 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".

NORTHSIDE CAPITAL MANAGEMENT LLC

LVS CAPITAL MANAGEMENT LLC | NORTHSIDE CAPITAL MANAGEMENT LLC

CRD#: 107784 / SEC#: 801-56071

RIA

Registered Investment Advisory firm - (12/7/1998 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.

Highlighted states indicate IAR registrations

IAR

California
(6/5/2026)

IAR

Texas
(6/5/2026)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/5/2026

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/11/2012

General Securities Principal Examination

Current Firm

NORTHSIDE CAPITAL MANAGEMENT LLC

LVS CAPITAL MANAGEMENT LLC | NORTHSIDE CAPITAL MANAGEMENT LLC

CRD#: 107784 / SEC#: 801-56071

RIA

Registered Investment Advisory firm - (12/7/1998 Approved)

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Contact information

Main Address

116 3rd Street, Suite 313, Hood River, OR 97031

Mailing Address

Phone number

(541) 387-2080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03 NORTHSIDE FIRM BROCHURE AND SUPPLEMENT (4/30/2025)

Regulatory assets under management

Total Number of Accounts	516
AUM (Assets Under Management)	$ 5,824,740,140

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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Keith G. Lister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith George Lister's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

THOMAS WEISEL PARTNERS LLC

Primary Firm SEC Registration

NORTHSIDE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/5/2026

Series 63

Date: 11/14/2001

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2001

Series 24

Date: 9/11/2012

Current Firm

NORTHSIDE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHSIDE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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