AK
Andrew C. Keller
INSCRIPTION CAPITAL
Houston, TX 77098
Some features on this profile are disabled
CRD#: 4682790
AK
Professional summary
Andrew Clifton Keller is a registered financial advisor currently at INSCRIPTION CAPITAL, LLC located in Houston, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Houston, Texas.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Andrew has worked at 4 firms and has passed the Series 66, 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. Inscription Capital. Investment Related. At Registered Location. RIA. IAR/Managing Director. 9/25/2023. 120 hrs/month with 100 during trading hours. Monitor client accounts, review holdings, perform client reviews. 2. Fixed Insurance. Investment Related. At Registered Location. Independent Insurance Agency. Agent. Fixed/traditional insurance. 9/25/2023. 2 hrs/month with 2 during trading hours. Provide insurance advice based on the needs of clients. 3. PKSF. Investment Related. At Registered Location. Independent Insurance Agency. Agent. Fixed/traditional insurance. 9/25/2023. 2 hrs/month with 2 during trading hours. Provide insurance advice based on the needs of clients. 4. Trotter YMCA. Not Investment Related. 1331 Augusta Drive Houston, Texas 77057. Charitable or Non-Profit Organization. Board Member. 2/2014. 4 hrs/month with 1 during trading hours. Assist in board activities and help with overall board strategy.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Clifton Keller'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®
NoneExperience
Current
September 25, 2023 - Present
INSCRIPTION CAPITAL, LLC
Office #1: 2925 Richmond Avenue Suite 425, Houston, TX 77098RIA
CRD#: 291780
Houston, TX
Current
November 8, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 2925 Richmond Avenue Suite 425, Houston, TX 77098BD
CRD#: 35747
Houston, TX
Past
October 28, 2015 - September 14, 2023
INTRUA FINANCIAL
RIA
CRD#: 281554
HOUSTON, TX
Past
July 23, 2003 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
July 17, 2003 - October 9, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, 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".
IC
INSCRIPTION CAPITAL, LLC
INSCRIPTION CAPITAL, LLC | WINDWARD LANE WEALTH ADVISORS, LLC | SOUND POST CAPITAL
CRD#: 291780 / SEC#: 801-112532
RIA
Registered Investment Advisory firm - (3/1/2018 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(11/8/2023)
RR
Kansas(11/8/2023)
RR
Missouri(11/8/2023)
RR
Tennessee(11/8/2023)
IAR
Texas(9/25/2023)
RR
Texas(11/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IC
INSCRIPTION CAPITAL, LLC
INSCRIPTION CAPITAL, LLC | WINDWARD LANE WEALTH ADVISORS, LLC | SOUND POST CAPITAL
CRD#: 291780 / SEC#: 801-112532
RIA
Registered Investment Advisory firm - (3/1/2018 Approved)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
2925 Richmond Avenue Suite 425, Houston, TX 77098
Mailing Address
Phone number
(713) 673-8999
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,456 |
| AUM (Assets Under Management) | $ 1,556,528,803 |
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.
