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CK

Cody M. Keller

SEASIDE WEALTH ADVISORS LLC
Mechanicsburg, PA 17050
Some features on this profile are disabled
CRD#: 6669454
CK

Professional summary

Cody Michael Keller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Cody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Prior to being barred, Cody has worked at 3 firms, which includes MML INVESTORS SERVICES LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Cody Keller

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 Cody Michael Keller'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

September 23, 2024 - Present

SEASIDE WEALTH ADVISORS LLC

Office #1: 100 Sterling Parkway, G20, Mechanicsburg, PA 17050
RIA
CRD#: 327645
Mechanicsburg, PA
Past

August 22, 2023 - October 14, 2024

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
MECHANICSBURG, PA
Past

August 17, 2023 - October 14, 2024

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
MECHANICSBURG, PA
Past

March 17, 2017 - August 30, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Mechanicsburg, PA

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".
SW
SEASIDE WEALTH ADVISORS LLC
SEASIDE WEALTH ADVISORS LLC | STERLING CAPITAL PARTNERS, LLC | STERLING CAPITAL PARTNERS

CRD#: 327645 / SEC#: 801-135217

RIA
Registered Investment Advisory firm - (1/21/2026 Approved)
North Carolina
Registered Investment Advisory firm - (2/2/2026 Termination Requested)
Pennsylvania
Registered Investment Advisory firm - (2/2/2026 Terminated)
Texas
Registered Investment Advisory firm - (2/2/2026 Terminated)

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
Pennsylvania
(9/23/2024)
IAR
Texas
(10/5/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/9/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/16/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/7/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/17/2017
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SW
SEASIDE WEALTH ADVISORS LLC
SEASIDE WEALTH ADVISORS LLC | STERLING CAPITAL PARTNERS, LLC | STERLING CAPITAL PARTNERS

CRD#: 327645 / SEC#: 801-135217

RIA
Registered Investment Advisory firm - (1/21/2026 Approved)
North Carolina
Registered Investment Advisory firm - (2/2/2026 Termination Requested)
Pennsylvania
Registered Investment Advisory firm - (2/2/2026 Terminated)
Texas
Registered Investment Advisory firm - (2/2/2026 Terminated)
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Contact information

Main Address
6209 Oleander Dr Suite 102, Wilmington, NC 28403
Mailing Address
Phone number
(910) 550-3554
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SEASIDE WEALTH ADVISORS ADV 2A (2/4/2026)

Regulatory assets under management

Total Number of Accounts711
AUM (Assets Under Management)$ 103,460,697

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.

Company Information

SEASIDE WEALTH ADVISORS LLC

CRD#: 327645Mechanicsburg, PA 17050

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