Keith Conley
WEALTH TEAMS ALLIANCE
Irvine, CA 92618
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CRD#: 7086123
Professional summary
Keith Conley, CFP® is a registered financial advisor currently at WEALTH TEAMS ALLIANCE located in Irvine, California.
Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Keith has worked at 3 firms and has passed the Series 63, Series 7TO and SIE 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.
1). Mitchell Financial Solutions; Not investment related; 1909 West Moore Ave, Santa Ana, CA 92704 Life Insurance and Annuity Agent (not investment) 04/2018-Present; 20 hours/month(20 hours during securities trading hours); Produce as career agent to place insurance and annuity products.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Conley'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: 2018
Experience
Current
January 3, 2024 - Present
WEALTH TEAMS ALLIANCE
Office #1: 15520 Rockfield Blvd Suite G, Irvine, CA 92618RIA
CRD#: 168907
Irvine, CA
Past
January 8, 2020 - December 31, 2023
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
Santa Ana, CA
Past
November 8, 2019 - December 31, 2023
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Santa Ana, CA
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".
WT
WEALTH TEAMS ALLIANCE
IA NETWORK | WEALTH TEAMS ALLIANCE INC. | WEALTH TEAMS ALLIANCE | WB CONSULTING, LLC | OAK GROVE, LLC | OAK GROVE, INC. | OAK GROVE | MORGAN ASSET MANAGEMENT
CRD#: 168907 / SEC#: 801-122977
RIA
Registered Investment Advisory firm - (1/3/2022 Approved)California
Registered Investment Advisory firm - (1/21/2023 Terminated)Colorado
Registered Investment Advisory firm - (11/9/2018 Terminated)Florida
Registered Investment Advisory firm - (12/22/2022 Terminated)Kansas
Registered Investment Advisory firm - (12/22/2022 Terminated)Michigan
Registered Investment Advisory firm - (11/16/2018 Terminated)Minnesota
Registered Investment Advisory firm - (3/13/2018 Terminated)Rhode Island
Registered Investment Advisory firm - (11/8/2018 Terminated)Texas
Registered Investment Advisory firm - (12/22/2022 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
California(1/3/2024)
IAR
Texas(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/8/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
WT
WEALTH TEAMS ALLIANCE
IA NETWORK | WEALTH TEAMS ALLIANCE INC. | WEALTH TEAMS ALLIANCE | WB CONSULTING, LLC | OAK GROVE, LLC | OAK GROVE, INC. | OAK GROVE | MORGAN ASSET MANAGEMENT
CRD#: 168907 / SEC#: 801-122977
RIA
Registered Investment Advisory firm - (1/3/2022 Approved)California
Registered Investment Advisory firm - (1/21/2023 Terminated)Colorado
Registered Investment Advisory firm - (11/9/2018 Terminated)Florida
Registered Investment Advisory firm - (12/22/2022 Terminated)Kansas
Registered Investment Advisory firm - (12/22/2022 Terminated)Michigan
Registered Investment Advisory firm - (11/16/2018 Terminated)Minnesota
Registered Investment Advisory firm - (3/13/2018 Terminated)Rhode Island
Registered Investment Advisory firm - (11/8/2018 Terminated)Texas
Registered Investment Advisory firm - (12/22/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15520 Rockfield Blvd Suite G, Irvine, CA 92618
Mailing Address
Phone number
(877) 282-4768
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 950 |
| AUM (Assets Under Management) | $ 205,554,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
