Keith R. Fulton

CETERA INVESTMENT ADVISERS LLC

MONROEVILLE, PA 15146

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CRD#: 5172813

Professional summary

Keith R Fulton, who also goes by Keith Richard Fulton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Monroeville, Pennsylvania and CETERA INVESTMENT SERVICES LLC located in Monroeville, Pennsylvania.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Keith has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith Richard Fulton

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.)RECEIVES COMPENSATION FOR REFERRALS TO FIRST NATIONAL BANK TRUST DEPARTMENT 2.)MEMBER AND OWNER OF KRF VISION LLC (FULTON FAMILY OPTICAL), A FAMILY BUSINESS, MANAGER, CONTACT WITH ACCOUNTANT TO SIGN PAYROLL AND YEAR END RETURNS, ENSURE COMPANY INSURANCE UP TO DATE, 1-2 HOURS PER WEEK." 3.) FIXED LIFE INSURANCE SALES OUTSIDE OF CETERA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith R Fulton'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

February 11, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4220 William Penn Highway, Monroeville, PA 15146Office #2: 166 Ligonier Street, New Florence, PA 15944

RIA

CRD#: 105644

MONROEVILLE, PA

Current

February 11, 2014 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4220 William Penn Highway, Monroeville, PA 15146

CRD#: 15340

Monroeville, PA

Past

August 20, 2012 - February 12, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

MONROEVILLE, PA

Past

August 20, 2012 - February 12, 2014

LPL FINANCIAL LLC

CRD#: 6413

MONROEVILLE, PA

Past

August 10, 2010 - August 21, 2012

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

NORTH HUNTINGDON, PA

Past

August 10, 2010 - August 21, 2012

CITIZENS SECURITIES, INC.

CRD#: 39550

NORTH HUNTINGDON, PA

Past

June 7, 2010 - August 5, 2010

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

JOHNSTOWN, PA

Past

May 28, 2010 - August 5, 2010

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

JOHNSTOWN, PA

Past

April 30, 2009 - June 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

WINDBER, PA

Past

April 30, 2009 - June 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

WINDBER, PA

Past

April 1, 2009 - April 15, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

NORTH HUNTINGDON, PA

Past

September 8, 2006 - April 15, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

NORTH HUNTINGDON, PA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

Arizona
(2/11/2014)

California
(2/11/2014)

Florida
(2/11/2014)

Illinois
(8/10/2022)

Louisiana
(11/19/2020)

Maryland
(8/4/2022)

New Jersey
(3/28/2025)

New York
(10/17/2023)

North Carolina
(2/11/2014)

Ohio
(2/11/2014)

Pennsylvania
(2/11/2014)

IAR

Pennsylvania
(2/11/2014)

South Carolina
(9/28/2017)

Tennessee
(6/15/2023)

Texas
(11/19/2020)

IAR

Texas
(1/17/2023)

Virginia
(2/11/2014)

Washington
(1/2/2019)

West Virginia
(2/18/2014)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/31/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/2006

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: 12/8/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/7/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Keith R. Fulton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith R Fulton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2009

Series 63

Date: 10/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/8/2009

Series 6

Date: 9/7/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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