Kiel S. Holmes

KELSEY FINANCIAL

Lake Balboa, CA

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CRD#: 6245170

Professional summary

Kiel Spencer Holmes, who also goes by Kiel Holmes, Kiel S Holmes, is a registered financial advisor currently at KELSEY FINANCIAL, LLC located in Lake Balboa, California.

Kiel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Kiel has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kiel Holmes | Kiel S Holmes

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) - RIA

Click below to view Kiel Spencer Holmes's CRS (Customer Relationship Summary).

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

June 25, 2021 - Present

KELSEY FINANCIAL, LLC

RIA

CRD#: 314950

Lake Balboa, CA

Past

January 2, 2018 - August 1, 2021

KELSEY FINANCIAL, LLC

RIA

CRD#: 171901

Toluca Lake, CA

Past

August 21, 2017 - December 31, 2017

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Los Angeles, CA

Past

August 21, 2017 - December 31, 2017

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Los Angeles, CA

Past

April 3, 2014 - August 21, 2017

FINANCIAL WEST GROUP

RIA

CRD#: 16668

LOS ANGELES, CA

Past

March 13, 2014 - August 21, 2017

FINANCIAL WEST GROUP

CRD#: 16668

LOS ANGELES, 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".

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.

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

California
(6/25/2021)

IAR

Texas
(9/10/2021)

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: 4/3/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2014

General Securities Representative Examination

Current Firm

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

SEC notice filing (4 States and Territories)

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 Accounts	263
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.

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Advisor Monitoring

Firm Stability Insights

Kiel S. Holmes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kiel Spencer Holmes's CRS (Customer Relationship Summary).

Certified licenses

Experience

KELSEY FINANCIAL, LLC

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

Primary Firm SEC Registration

KELSEY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/3/2014

SIE

Date: 12/31/2017

Series 7

Date: 3/13/2014

Current Firm

KELSEY FINANCIAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KELSEY FINANCIAL, LLC

TRUST BUT VERIFY

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