Thomas P. Keeling

DELOS CAPITAL ADVISORS

DALLAS, TX 75201

Some features on this profile are disabled

CRD#: 6842342

Professional summary

Thomas P Keeling is a registered financial advisor currently at DELOS CAPITAL ADVISORS located in Dallas, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Thomas 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.

?03/2018 Independent Licensed insurance Agent; Investment Related; Dallas/TX; General Lines Agent: Life, Accident, Health and HMO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas P Keeling'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 17, 2024 - Present

DELOS CAPITAL ADVISORS

Office #1: 1845 Woodall Rodgers Fwy Suite 1000, Dallas, TX 75201

RIA

CRD#: 300734

DALLAS, TX

Past

May 9, 2019 - December 31, 2023

DELOS CAPITAL ADVISORS

RIA

CRD#: 300734

DALLAS, TX

Past

October 23, 2017 - April 15, 2019

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

DALLAS, TX

Past

September 7, 2017 - April 15, 2019

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

DALLAS, TX

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".

DELOS CAPITAL ADVISORS

DELOS CAPITAL ADVISORS | DELOS WEALTH ADVISORS, LLC | DELOS WEALTH ADVISORS | DELOS CAPITAL ADVISORS, LLC

CRD#: 300734 / SEC#: 801-119589

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Louisiana

Registered Investment Advisory firm - (10/20/2020 Terminated)

Oklahoma

Registered Investment Advisory firm - (10/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/13/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(1/17/2024)

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: 10/20/2017

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: 9/7/2017

General Securities Representative Examination

Current Firm

DELOS CAPITAL ADVISORS

DELOS CAPITAL ADVISORS | DELOS WEALTH ADVISORS, LLC | DELOS WEALTH ADVISORS | DELOS CAPITAL ADVISORS, LLC

CRD#: 300734 / SEC#: 801-119589

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Louisiana

Registered Investment Advisory firm - (10/20/2020 Terminated)

Oklahoma

Registered Investment Advisory firm - (10/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/13/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1845 Woodall Rodgers Fwy Suite 1000, Dallas, TX 75201

Mailing Address

Phone number

(972) 810-1610

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

ADV PART 2A (8/1/2025)

Regulatory assets under management

Total Number of Accounts	320
AUM (Assets Under Management)	$ 162,243,142

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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

Garland, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

DALLAS, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas P. Keeling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas P Keeling's CRS (Customer Relationship Summary).

Certified licenses

Experience

DELOS CAPITAL ADVISORS

DELOS CAPITAL ADVISORS

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

Primary Firm SEC Registration

DELOS CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/7/2017

Current Firm

DELOS CAPITAL ADVISORS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELOS CAPITAL ADVISORS

TRUST BUT VERIFY

Similar Advisors