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KK

Keith W. Kmiec

Some features on this profile are disabled
CRD#: 5113261
KK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Keith Wayne Kmiec, who also goes by Keith Wayne Kmiec, was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 2006. Keith had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith Wayne Kmiec

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 4, 2023 - December 15, 2025

GRADIENT SECURITIES, LLC

RIA
CRD#: 127701
Liberty Hill, TX
Past

October 3, 2023 - December 15, 2025

GRADIENT SECURITIES, LLC

BD
CRD#: 127701
Liberty Hill, TX
Past

July 5, 2013 - October 11, 2021

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
AUSTIN, TX
Past

August 25, 2006 - April 2, 2013

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
MIDLAND, TX
Past

August 10, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
MIDLAND, TX
Past

August 10, 2006 - April 2, 2013

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
MIDLAND, TX
Past

July 12, 2006 - July 20, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
AUSTIN, TX
Past

June 21, 2006 - July 20, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
AUSTIN, 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".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/11/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/25/2013
Investment Company Products/Variable Contracts Principal Examination

Current Firm

GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
MERAKI PRIVATE EQUITY, LLCOWNER
JOCHUM, JAMIE LEEFINOP4459768
NELSON, ROBERT SCOTTPRESIDENT & ELECTED MANAGER4237080
REMME, BRIAN ANDREWCHIEF COMPLIANCE OFFICER3103459

Regulatory assets under management

Total Number of Accounts7,322
AUM (Assets Under Management)$ 591,069,287

Disclosures

Regulatory Event1

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.

Company Information

GRADIENT SECURITIES, LLC

CRD#: 127701

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