Kelly L. Monroe

KEYSTONE ADVISORY GROUP

Hollister, CA 95023

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CRD#: 5137582

Professional summary

Kelly Lisa Monroe, who also goes by Kelly Lisa Brennan, Kelly Lisa Simbirdi, is a registered financial advisor currently at KEYSTONE ADVISORY GROUP located in Hollister, California.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Kelly has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelly Lisa Brennan | Kelly Lisa Simbirdi

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 Kelly Lisa Monroe'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®

None

Experience

Current

September 6, 2013 - Present

KEYSTONE ADVISORY GROUP

Office #1: 2440 Bert Drive Building 200, Suite 204, Hollister, CA 95023

RIA

CRD#: 168574

Hollister, CA

Past

July 7, 2011 - September 6, 2013

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

BURLINGAME, CA

Past

July 5, 2011 - September 6, 2013

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

BURLINGAME, CA

Past

September 4, 2007 - July 20, 2011

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

FOSTER CITY, CA

Past

September 4, 2007 - July 20, 2011

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

FOSTER CITY, CA

Past

July 18, 2007 - September 19, 2007

CETERA ADVISORS LLC

RIA

CRD#: 10299

FOSTER CITY, CA

Past

July 18, 2007 - September 19, 2007

CETERA ADVISORS LLC

CRD#: 10299

FOSTER CITY, CA

Past

July 3, 2006 - July 18, 2007

LEGACY ADVISORY SERVICES, INC.

RIA

CRD#: 111027

FOSTER CITY, CA

Past

May 4, 2006 - July 18, 2007

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

FOSTER CITY, CA

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

Arizona
(1/8/2025)

IAR

California
(9/6/2013)

IAR

Oregon
(2/10/2014)

IAR

Texas
(10/23/2013)

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: 6/15/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/3/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEYSTONE ADVISORY GROUP

KEYSTONE ADVISORY GROUP | THE MONROE TEAM, INC. | THE MONROE TEAM, INC | THE KEY2RETIRE FORMULA | KEYSTONE PLANNING PARTNERSHIP

CRD#: 168574 / SEC#: 801-78478

RIA

Registered Investment Advisory firm - (1/6/2014 Terminated)

Arizona

Registered Investment Advisory firm - (1/8/2025 Approved)

California

Registered Investment Advisory firm - (1/1/2014 Approved)

Oregon

Registered Investment Advisory firm - (2/10/2014 Approved)

Texas

Registered Investment Advisory firm - (10/23/2013 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (4/11/2024 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).

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Contact information

Main Address

2440 Bert Drive Building 200, Suite 204, Hollister, CA 95023

Mailing Address

Phone number

(650) 262-0130

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	215
AUM (Assets Under Management)	$ 61,096,932

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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Firm Stability Insights

Kelly L. Monroe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Lisa Monroe's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

LEGACY ADVISORY SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/2006

Series 63

Date: 5/12/2006

Series 6

Date: 5/3/2006

Current Firm

KEYSTONE ADVISORY GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KEYSTONE ADVISORY GROUP

TRUST BUT VERIFY

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