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JA

Jeffrey M. Alstot

Some features on this profile are disabled
CRD#: 5864067
JA

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.

Jeffrey Mark Alstot, who also goes by Jeff Mark Alstot, Jeff Alstot, Jeffrey Mark Alstot, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 2016. Jeffrey had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Mark Alstot | Jeff Alstot | Jeffrey Mark Alstot

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

June 25, 2021 - May 30, 2025

KELSEY FINANCIAL, LLC

RIA
CRD#: 314950
MOORPARK, CA
Past

May 2, 2018 - August 1, 2021

KELSEY FINANCIAL, LLC

RIA
CRD#: 171901
MOORPARK, CA
Past

October 27, 2017 - May 1, 2018

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Calabasas, CA
Past

February 25, 2017 - April 23, 2018

AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC

RIA
CRD#: 160322
CALABASAS, CA
Past

February 17, 2017 - April 25, 2017

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
CALABASAS, CA
Past

November 28, 2016 - November 8, 2017

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
CALABASAS, CA

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
KELSEY FINANCIAL, LLC
KELSEY FINANCIAL, LLC

CRD#: 314950 / SEC#: 801-129004

RIA
Registered Investment Advisory firm - (1/30/2024 Approved)
California
Registered Investment Advisory firm - (6/25/2021 Approved)
Nevada
Registered Investment Advisory firm - (3/28/2023 Approved)
Oregon
Registered Investment Advisory firm - (1/28/2022 Approved)
Texas
Registered Investment Advisory firm - (9/9/2021 Conditional Restricted)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/17/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/28/2016
General Securities Representative Examination

Current Firm

KF
KELSEY FINANCIAL, LLC
KELSEY FINANCIAL, LLC

CRD#: 314950 / SEC#: 801-129004

RIA
Registered Investment Advisory firm - (1/30/2024 Approved)
California
Registered Investment Advisory firm - (6/25/2021 Approved)
Nevada
Registered Investment Advisory firm - (3/28/2023 Approved)
Oregon
Registered Investment Advisory firm - (1/28/2022 Approved)
Texas
Registered Investment Advisory firm - (9/9/2021 Conditional Restricted)
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Contact information

Main Address
485 E. High Street, Moorpark, CA 93021
Mailing Address
Phone number
(833) 453-5739
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KELSEY FINANCIAL ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts263
AUM (Assets Under Management)$ 149,798,910

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.

Company Information

KELSEY FINANCIAL, LLC

CRD#: 314950

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