Amy C. Spivey

KEYSTONE FINANCIAL GROUP

Lexington, KY 40503

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CRD#: 6567083

Professional summary

Amy Claire Spivey is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Lexington, Kentucky.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Amy has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

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.

Crown Oilfield Services, Inc. Patterson, LA. Co-Owner, non investment related, zero hours devoted to business. COSI, LLC. Morgan City, LA. C0-Owner, non investment related, zero hours devoted to business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Claire Spivey'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

January 11, 2024 - Present

KEYSTONE FINANCIAL GROUP, LLC

Office #1: 527 Wellington Way, Ste 225, Lexington, KY 40503

RIA

CRD#: 170201

Lexington, KY

Past

March 14, 2016 - January 19, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Lexington, KY

Past

December 18, 2015 - January 19, 2024

MORGAN STANLEY

CRD#: 149777

Lexington, KY

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".

KEYSTONE FINANCIAL GROUP, LLC

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.

Highlighted states indicate IAR registrations

IAR

Kentucky
(1/11/2024)

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: 3/11/2016

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: 12/18/2015

General Securities Representative Examination

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

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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

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A (3/25/2025)

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A APPENDIX 1 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,153
AUM (Assets Under Management)	$ 1,858,938,537

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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Amy C. Spivey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Claire Spivey's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEYSTONE FINANCIAL GROUP, LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

KEYSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2016

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2015

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYSTONE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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