Richard S. Seals

KEYSTONE FINANCIAL GROUP

Christiansted, VI

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CRD#: 4897662

Professional summary

Richard Stephen Seals, who also goes by Richard S Seals, is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Christiansted, .

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Richard has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard S Seals

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. 06/26/2014 - KEYSTONE FINANCIAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ LEXINGTON, KY 2. 07/17/2014 - KEYSTONE FINANCIAL GROUP - REGISTERED INVESTMENT ADVISOR - LEXINGTON, KY 3. 11/25/2014 - NGL LIFE INSURANCE CO - NON-VARIABLE INSURANCE - TIME SPENT 10 HOURS PER MONTH - LEXINGTON, KY 4. 12/05/2014 - SEALS FINANCIAL - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - TIME SPENT 5 HOURS PER MONTH -LEXINGTON, KY. 5. 2/20/2019 - Seals Investments VI - Not Investment Related - 133 Cotton Valley, Christiansted VI 00820 - Business Entity For Tax/Investment Purposes Only - Started 01/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Stephen Seals'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 27, 2014 - Present

KEYSTONE FINANCIAL GROUP, LLC

RIA

CRD#: 170201

Christiansted, VI

Past

May 8, 2017 - February 20, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

LEXINGTON, KY

Past

June 26, 2014 - February 20, 2020

LPL FINANCIAL LLC

CRD#: 6413

LEXINGTON, KY

Past

June 16, 2008 - June 30, 2014

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

LEXINGTON, KY

Past

June 16, 2008 - June 30, 2014

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

LEXINGTON, KY

Past

February 13, 2007 - June 18, 2008

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

LEBANON, KY

Past

August 24, 2006 - June 18, 2008

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

LEBANON, KY

Past

March 9, 2005 - October 25, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 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

Kentucky
(6/27/2014)

IAR

Virgin Islands
(5/15/2017)

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: 2/12/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2005

General Securities Representative Examination

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

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Contact information

Main Address

527 Wellington Way, Ste 225, Lexington, KY 40503

Mailing Address

Phone number

(859) 317-8316

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A (3/25/2025)

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A APPENDIX 1 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,153
AUM (Assets Under Management)	$ 1,858,938,537

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

Richard S. Seals

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Stephen Seals's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

EDWARD JONES

Primary Firm SEC Registration

KEYSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/12/2007

Series 63

Date: 5/16/2005

SIE

Date: 10/1/2018

Series 7

Date: 3/8/2005

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYSTONE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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