James E. Keller

ROLAND FINANCIAL WEALTH MANAGEMENT LLC

Erie, PA 16506

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CRD#: 6065274

Professional summary

James Elmer Keller JR, who also goes by James E Keller, James Elmer Keller, Jim Keller, is a registered financial advisor currently at ROLAND FINANCIAL WEALTH MANAGEMENT LLC located in Erie, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. James has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James E Keller | James Elmer Keller | Jim Keller

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.) ROLAND FINANCIAL; YES INVESTMENT RELATED; 3910 CAUGHY ROAD, SUITE 140, ERIE, PA 16506; INSURANCE SALES; (ADVISER REPRESENTATIVE); START DATE 06/2019; APPROX 160 HRS/MONTH; APPROX 00 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Elmer Keller JR'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®

None

Experience

Current

July 23, 2021 - Present

ROLAND FINANCIAL WEALTH MANAGEMENT LLC

Office #1: 3910 Caughey Rd Suite 140, Erie, PA 16506

RIA

CRD#: 315175

Erie, PA

Past

June 28, 2019 - February 21, 2022

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

ERIE, PA

Past

December 19, 2018 - May 13, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7870

ERIE, PA

Past

December 19, 2018 - May 13, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Erie, PA

Past

December 19, 2018 - May 13, 2019

TD AMERITRADE, INC.

CRD#: 7870

ERIE, PA

Past

March 4, 2016 - December 12, 2018

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Erie, PA

Past

March 4, 2016 - December 12, 2018

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Erie, PA

Past

January 21, 2015 - January 9, 2016

OSAIC SERVICES, INC.

RIA

CRD#: 133763

ERIE, PA

Past

September 30, 2014 - January 9, 2016

OSAIC SERVICES, INC.

CRD#: 133763

ERIE, PA

Past

June 19, 2012 - December 6, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

ERIE, PA

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

Pennsylvania
(7/23/2021)

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

IAR

Series 66

Date: 10/23/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2019

General Securities Principal Examination

Current Firm

ROLAND FINANCIAL WEALTH MANAGEMENT LLC

CRD#: 315175 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (7/23/2021 Approved)

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Contact information

Main Address

3910 Caughey Rd Suite 140, Erie, PA 16506

Mailing Address

Phone number

(814) 833-2999

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	527
AUM (Assets Under Management)	$ 57,216,924

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.

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Advisor Monitoring

Firm Stability Insights

James E. Keller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Elmer Keller JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2014

SIE

Date: 10/1/2018

Series 7

Date: 6/18/2012

Series 24

Date: 3/1/2019

Current Firm

ROLAND FINANCIAL WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROLAND FINANCIAL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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