Carey S. Kesner

MOSAIC ADVISORS

Houston, TX 77046

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CRD#: 4907404

Professional summary

Carey Stuart Kesner, CFP® is a registered financial advisor currently at MOSAIC ADVISORS located in Houston, Texas.

Carey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Carey has worked at 4 firms and has passed the 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.

NAME OF BUSINESS: Harris County Municipal Utilities District No. 290 INVESTMENT RELATED: No ADDRESS: 3200 Southwest Freeway, Suite 2600, Houston, TX 77027 NATURE OF BUSINESS: Municipal utility districts, or "MUDs," bring public water, sewer, drainage and other basic services to residents who are not served by a city. START DATE: 06/2014 APPROXIMATE HOURS/MONTH: 2 DURING TRADING HOURS: 2 DUTIES: Elected as Board Director of MUD 290, which is located in the community where Carey lives. Together with 4 other directors, the board has financial and operational authority for the District, but retains consultants and contractors who, among other things, operate, maintain, improve and repair the water, sewer and drainage systems and plants.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carey Stuart Kesner'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

September 27, 2012 - Present

MOSAIC ADVISORS

Office #1: 3773 Richmond Avenue Suite 700, Houston, TX 77046

RIA

CRD#: 164913

Houston, TX

Past

February 17, 2012 - March 31, 2015

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HOUSTON, TX

Past

February 16, 2012 - March 31, 2015

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

Past

November 29, 2011 - February 17, 2012

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

HOUSTON, TX

Past

November 28, 2011 - February 17, 2012

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

HOUSTON, TX

Past

May 24, 2007 - November 28, 2011

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HOUSTON, TX

Past

May 24, 2007 - January 12, 2012

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

June 13, 2005 - November 28, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

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".

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(9/27/2012)

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

Series 63

Date: 7/12/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/2005

General Securities Representative Examination

Current Firm

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

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Contact information

Main Address

3773 Richmond Avenue Suite 700, Houston, TX 77046

Mailing Address

Phone number

(713) 980-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MOSAIC ADVISORS FORM ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 499,449,089

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Carey S. Kesner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carey Stuart Kesner's CRS (Customer Relationship Summary).

Certified licenses

Experience

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

FSC SECURITIES CORPORATION

PNC MANAGED ACCOUNT SOLUTIONS, INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

MOSAIC ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/2005

SIE

Date: 3/31/2015

Series 7

Date: 6/12/2005

Current Firm

MOSAIC ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOSAIC ADVISORS

TRUST BUT VERIFY

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