JS
Jeffrey A. Swaim
KEYSTONE FINANCIAL GROUP
Louisville, KY 40207
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CRD#: 5531473
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Professional summary
Jeffrey Allen Swaim is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Louisville, Kentucky.
Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Jeffrey has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
ROYAL BLUE RENTALS, LLC. POSITION: Owner NATURE: Royal Blue Rentals, LLC. is a real estate company that invests in rentals, turn-key rentals, and properties. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/08/2021 ADDRESS: 2503 Fieldstone Dr, LA GRANGE KY 40031, United States DESCRIPTION: Royal Blue Rentals, LLC. is a rental company business that owns and manages multiple rental properties, such as apartments, condominiums, or houses, and leases them to tenants in exchange for rent. In addition to this core activity, we may also provide related services such as property management, maintenance, and repair. We could potentially branch out into other rental-related activities, such as vacation rentals. Our goal is to provide quality rental options and services to our customers.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Allen Swaim'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®
NoneExperience
Current
July 28, 2025 - Present
KEYSTONE FINANCIAL GROUP, LLC
Office #1: 6013 Brownsboro Park Blvd Suite A, Louisville, KY 40207RIA
CRD#: 170201
Louisville, KY
Past
June 14, 2024 - August 12, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
LOUISVILLE, KY
Past
June 14, 2024 - August 12, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
LOUISVILLE, KY
Past
May 30, 2012 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LOUISVILLE, KY
Past
March 22, 2010 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LOUISVILLE, KY
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".
KF
KEYSTONE FINANCIAL GROUP, LLC
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
CRD#: 170201 / SEC#: 801-79274
RIA
Registered Investment Advisory firm - (2/26/2014 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.Highlighted states indicate IAR registrations
IAR
Kentucky(7/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KF
KEYSTONE FINANCIAL GROUP, LLC
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
CRD#: 170201 / SEC#: 801-79274
RIA
Registered Investment Advisory firm - (2/26/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
527 Wellington Way, Ste 225, Lexington, KY 40503
Mailing Address
Phone number
(859) 317-8316
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,153 |
| AUM (Assets Under Management) | $ 1,858,938,537 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KEYSTONE FINANCIAL GROUP, LLC
CRD#: 170201Louisville, KY 40207TRUST BUT VERIFY
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