JK
Jennifer C. Kettering
STEELE CAPITAL MANAGEMENT
Dubuque, IA 52001
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CRD#: 6389879
JK
Professional summary
Jennifer Cecelia Kettering is a registered financial advisor currently at STEELE CAPITAL MANAGEMENT, INC. located in Dubuque, Iowa.
Jennifer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Jennifer has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Jennifer Cecelia Kettering'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®
NoneExperience
Current
August 27, 2014 - Present
STEELE CAPITAL MANAGEMENT, INC.
Office #1: 1000 Jackson Street Suite 201, Dubuque, IA 52001RIA
CRD#: 107097
Dubuque, IA
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".
SC
STEELE CAPITAL MANAGEMENT, INC.
STEELE CAPITAL MANAGEMENT, INC.
CRD#: 107097 / SEC#: 801-50636
RIA
Registered Investment Advisory firm - (11/17/1995 Approved)California
Registered Investment Advisory firm - (1/23/2003 Cancelled)Massachusetts
Registered Investment Advisory firm - (11/15/2004 Terminated)Minnesota
Registered Investment Advisory firm - (10/3/2002 Terminated)Nebraska
Registered Investment Advisory firm - (11/19/2004 Terminated)North Carolina
Registered Investment Advisory firm - (11/15/2004 Terminated)Rhode Island
Registered Investment Advisory firm - (4/22/2003 Cancelled)Texas
Registered Investment Advisory firm - (4/11/2003 Cancelled)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
Iowa(8/27/2014)
Current Firm
SC
STEELE CAPITAL MANAGEMENT, INC.
STEELE CAPITAL MANAGEMENT, INC.
CRD#: 107097 / SEC#: 801-50636
RIA
Registered Investment Advisory firm - (11/17/1995 Approved)California
Registered Investment Advisory firm - (1/23/2003 Cancelled)Massachusetts
Registered Investment Advisory firm - (11/15/2004 Terminated)Minnesota
Registered Investment Advisory firm - (10/3/2002 Terminated)Nebraska
Registered Investment Advisory firm - (11/19/2004 Terminated)North Carolina
Registered Investment Advisory firm - (11/15/2004 Terminated)Rhode Island
Registered Investment Advisory firm - (4/22/2003 Cancelled)Texas
Registered Investment Advisory firm - (4/11/2003 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1000 Jackson Street Suite 201, Dubuque, IA 52001
Mailing Address
Phone number
(563) 588-2097
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,184 |
| AUM (Assets Under Management) | $ 3,030,626,319 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STEELE CAPITAL MANAGEMENT, INC.
CRD#: 107097Dubuque, IA 52001TRUST BUT VERIFY
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