Keith P. Walle
SIKICH FINANCIAL
Springfield, IL 62704
Some features on this profile are disabled
CRD#: 5936361
Professional summary
Keith Patrick Walle, CFP®, who also goes by Keith P Walle, Kip Walle, is a registered financial advisor currently at SIKICH FINANCIAL located in Springfield, Illinois and OSAIC WEALTH, INC. located in Springfield, Illinois.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Keith has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith P Walle | Kip Walle
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)Sikich Financial;investment related;3201 West White Oaks Dr,Ste 102,Springfield,IL 62704;RIA;financial advisor/IAR;6/2013;320 hrs/month;6.5 hrs during trading;financial planning on a fee basis and fee based investment management thru the RIA 2)Springfield Urban League; Investment related: no; 100 North 11th St, Springfield, IL 62703;It is a 501c3 non-profit organization that looks to assist struggling and disadvantaged individuals to achieve social and economic self-sufficiency; Board Chair; Start date: 01/01/2023; hours/month:1; securities trading hours: 0; I am a member of the Board of Directors. This is strictly advisory role and have no say on the organizations operations. SUL is a non-profit organization and my contribution is a volunteer capacity. I act as the Board Chairman starting in 2023. I do not have any kind of responsibilities with that role. 3)Sikich LLC; Investment related: yes; 3051 Hollis Dr, Suite 301, Springfield, IL 62704; Nature or Structure of Business: LLC; Position: Principal; Start date: 05/01/2024; hours per month: 2; securities trading hours 0; Duties: Principal of Sikich LLC. Sikich LLC is the parent company of Sikich Financial. Sikich LLC moved from an LLP structure in May 2024. As a Principal, I have a say in operations of the RIA that is owned by Sikich LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Patrick Walle'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®
CFP®
Start date: 2015
Experience
Current
October 8, 2013 - Present
SIKICH FINANCIAL
Office #1: 3051 Hollis Drive 3rd Floor, Springfield, IL 62704RIA
CRD#: 142640
Springfield, IL
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 3051 Hollis Drive 3rd Floor, Springfield, IL 62704RIA
BD
CRD#: 23131
SPRINGFIELD, IL
Past
April 24, 2017 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
SPRINGFIELD, IL
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".
SF
SIKICH FINANCIAL
SIKICH CAPITAL MANAGEMENT LLC | SIKICH RETIREMENT PLAN SERVICES LLC | SIKICH FINANCIAL
CRD#: 142640 / SEC#: 801-110142
RIA
Registered Investment Advisory firm - (3/24/2017 Approved)Florida
Registered Investment Advisory firm - (3/27/2017 Terminated)Illinois
Registered Investment Advisory firm - (3/24/2017 Terminated)Minnesota
Registered Investment Advisory firm - (3/27/2017 Terminated)Missouri
Registered Investment Advisory firm - (3/27/2017 Terminated)Ohio
Registered Investment Advisory firm - (3/27/2017 Terminated)Texas
Registered Investment Advisory firm - (3/27/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (3/27/2017 Terminated)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.RR
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
RR
Arizona(2/21/2025)
RR
Arkansas(8/23/2024)
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Florida(8/23/2024)
IAR
Illinois(10/8/2013)
RR
Illinois(8/23/2024)
IAR
Indiana(3/5/2020)
RR
Indiana(8/23/2024)
RR
Kansas(8/23/2024)
RR
Louisiana(8/20/2025)
RR
Maryland(8/21/2025)
RR
Michigan(8/23/2024)
RR
Minnesota(8/23/2024)
IAR
Missouri(8/10/2016)
RR
Missouri(8/23/2024)
RR
New Jersey(8/23/2024)
RR
North Carolina(8/23/2024)
RR
Ohio(8/23/2024)
RR
South Carolina(3/17/2025)
RR
South Dakota(8/23/2024)
RR
Texas(8/23/2024)
RR
Utah(8/20/2025)
RR
Washington(8/23/2024)
RR
Wisconsin(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SIKICH FINANCIAL
SIKICH CAPITAL MANAGEMENT LLC | SIKICH RETIREMENT PLAN SERVICES LLC | SIKICH FINANCIAL
CRD#: 142640 / SEC#: 801-110142
RIA
Registered Investment Advisory firm - (3/24/2017 Approved)Florida
Registered Investment Advisory firm - (3/27/2017 Terminated)Illinois
Registered Investment Advisory firm - (3/24/2017 Terminated)Minnesota
Registered Investment Advisory firm - (3/27/2017 Terminated)Missouri
Registered Investment Advisory firm - (3/27/2017 Terminated)Ohio
Registered Investment Advisory firm - (3/27/2017 Terminated)Texas
Registered Investment Advisory firm - (3/27/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (3/27/2017 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3051 Hollis Drive 3rd Floor, Springfield, IL 62704
Mailing Address
Phone number
(217) 862-1843
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,236 |
| AUM (Assets Under Management) | $ 919,996,863 |
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.
