Kelly L Steffes

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Contact Information

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Disclosures on record.

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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Years of Experience

14 years registered in the securities industry

Current & Past Employments

Current

THORESON STEFFESCurrent·CRD# 164425

RIA

210 N. Broadway Suite 400, Fargo, ND 58102-4771

September 10, 2012 - Present

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Current Firm

TS

THORESON STEFFES

T&S INVESTMENTS | THORESON STEFFES | T&S INVESTMENTS, LLC

CRD#: 164425 / SEC#: 801-80084

RIA

Registered Investment Advisory firm - SEC (4/4/2015 Terminated)

Minnesota

Registered Investment Advisory firm - Minnesota (2/23/2018 Terminated)

North Dakota

Registered Investment Advisory firm - North Dakota (8/3/2012 Approved)

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).

Contact Information

Main Address

210 N. Broadway Suite 400, Fargo, ND 58102-4771

Phone Number

(701) 478-3338

# of Employees

2

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

31

AUM (Assets Under Management)

$49,253,138

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
South Dakota	ERA - Withdrawn	2/27/2020

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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.

IAR

North Dakota
(9/10/2012)

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.