Seth P. Neis
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.
Seth Peter Neis was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2008. Seth had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2019 - August 27, 2020
KEEL POINT, LLC
January 28, 2019 - August 27, 2020
KEEL POINT CAPITAL, LLC
November 3, 2017 - January 28, 2019
CAPITAL ONE ADVISORS, LLC
May 23, 2017 - January 28, 2019
CAPITAL ONE INVESTING, LLC
January 28, 2008 - May 22, 2017
SCOTTRADE, INC.
Primary Firm SEC Registration
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/1/2024
General Securities Representative ExaminationCurrent Firm
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
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.
