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Austin T. Duvall
KEYSTONE FINANCIAL GROUP
Lexingtin, KY 40503
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CRD#: 6370160
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Professional summary
Austin Thomas Duvall, CFP® is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Lexingtin, Kentucky and LPL FINANCIAL LLC located in Lexington, Kentucky.
Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Austin has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Employee and Employer Plan Ben...
Long-term Care
Education Planning
Insurance Planning
Estate Planning
Small Business Planning
Comprehensive Financial Planni...
Divorce Planning
Retirement Planning
Debt Management
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
None
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. 09/22/2014 - JR YOUNG CO INC./ DBA ONLY/ 100%/ LEXINGTON, KY 2. 3/6/2018 - Keystone Financial Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 11/1/2017 - 100 Hours Per Month/80 Hours Securities During Trading - I provide investment advisory services thru Keystone Financial Group, LLC, an independent investment advisor firm. I started this business activity in March 2018. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 01/08/2024 - Duvall Financial LLC - Non-Investment Related - At Reported Business location(s) - Business Entity For Tax/Investment Purposes Only - Started: 1/1/2024 - 160 Hrs/Mo During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Austin Thomas Duvall'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: 2016
Experience
Current
October 16, 2017 - Present
KEYSTONE FINANCIAL GROUP, LLC
Office #1: 2201 Regency Road, Suite 304, Lexingtin, KY 40503RIA
CRD#: 170201
Lexingtin, KY
Current
October 2, 2014 - Present
LPL FINANCIAL LLC
Office #1: 2201 Regency Road Ste 304, Lexington, KY 40503RIA
BD
CRD#: 6413
Lexington, KY
Past
December 2, 2014 - January 22, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
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
KEYSTONE FINANCIAL GROUP, LLC
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
CRD#: 170201 / SEC#: 801-79274
RIA
Registered Investment Advisory firm - (2/26/2014 Approved)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
Alabama(9/27/2023)
RR
California(2/5/2025)
RR
Colorado(1/15/2019)
RR
Florida(10/12/2016)
RR
Georgia(6/2/2021)
RR
Indiana(8/24/2020)
RR
Kentucky(12/2/2014)
IAR
Kentucky(10/16/2017)
RR
Maryland(9/17/2024)
RR
Michigan(9/20/2023)
RR
Minnesota(4/2/2025)
RR
New Jersey(1/22/2025)
RR
Ohio(4/4/2016)
RR
Tennessee(4/8/2025)
RR
Texas(2/22/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KEYSTONE FINANCIAL GROUP, LLC
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
CRD#: 170201 / SEC#: 801-79274
RIA
Registered Investment Advisory firm - (2/26/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
527 Wellington Way, Ste 225, Lexington, KY 40503
Mailing Address
Phone number
(859) 317-8316
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,153 |
| AUM (Assets Under Management) | $ 1,858,938,537 |
Red Flags
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Company Information
KEYSTONE FINANCIAL GROUP, LLC
CRD#: 170201Lexingtin, KY 40503TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
