Deborah E Greenlee-keck | Financial Professional

Professional summary

Deborah E Greenlee-keck was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Deborah is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Deborah had worked at 5 firms, which includes REALTA INVESTMENT ADVISORS INC, REALTA EQUITIES INC., WELLS FARGO CLEARING SERVICES LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP..

Question & Answer

Are you a "fiduciary"?

No

Aliases

Deborah Elizabeth Greenlee | Deborah Liz Greenlee-Keck | Deborah E Keck

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

January 4, 2016 - September 21, 2017

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

Elkhart, IN

Past

December 17, 2015 - September 21, 2017

REALTA EQUITIES, INC.

BD

CRD#: 23769

Elkhart, IN

Past

June 26, 2015 - October 29, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MISHAWAKA, IN

Past

June 26, 2015 - October 29, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

MISHAWAKA, IN

Past

October 1, 2012 - July 23, 2015

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

GOSHEN, IN

Past

October 1, 2012 - July 23, 2015

J.P. MORGAN SECURITIES LLC

BD

CRD#: 79

GOSHEN, IN

Past

July 1, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

GOSHEN, IN

Past

May 15, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD

CRD#: 25574

GOSHEN, IN

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".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

IAR

Series 66

Date: 6/26/2008

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 9/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/14/2008

General Securities Representative Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

Red Flags

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Firm Stability Insights

Deborah E. Greenlee-keck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA EQUITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/2008

SIE

Date: 9/21/2017

Series 7

Date: 5/14/2008

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

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