KM
Keaton M. Messerschmidt
BCU WEALTH ADVISORS
Vernon Hills, IL 60061
Some features on this profile are disabled
CRD#: 7111469
KM
Professional summary
Keaton Marie Messerschmidt, who also goes by Keaton Messerschmidt, Keaton Marie Mladic, is a registered financial advisor currently at BCU WEALTH ADVISORS, LLC located in Vernon Hills, Illinois and LPL FINANCIAL LLC located in Vernon Hills, Illinois.
Keaton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Keaton has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keaton Messerschmidt | Keaton Marie Mladic
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) 05/22/2023 - BCU Wealth Advisors, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 06/30/2023 - Baxter Credit Union - Financial Institution Duty - Senior Manager, Private Client Services - At Reported Business Location(s) - Investment related - 160 Hours per month/ 8-5 Hours During Trading- Start date: 11/30/2020 3) 08/15/2023 - BCU Wealth Advisors, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 6/30/2023 - 1 Hour Per Month/ 1 Hour During Trading - Time Spent 100% - I provide investment advisory services through BCU Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 6/2023. I expect to spend approximately 1 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 08/16/2023 - Valparaiso University - Other - Customer Experience Certificate Program Ad - Not Investment Related - Virtual/ Web Based - Start Date 08/01/2023 - 2 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Keaton Marie Messerschmidt'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
December 11, 2023 - Present
BCU WEALTH ADVISORS, LLC
Office #1: 300 N. Milwaukee Avenue, Vernon Hills, IL 60061RIA
CRD#: 164173
Vernon Hills, IL
Current
June 30, 2023 - Present
LPL FINANCIAL LLC
Office #1: 300 N Milwaukee Ave, Vernon Hills, IL 60061RIA
BD
CRD#: 6413
Vernon Hills, IL
Past
January 4, 2021 - June 30, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
VERNON HILLS, IL
Past
January 4, 2021 - June 30, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
VERNON HILLS, IL
Past
August 30, 2019 - December 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GREEN BAY, WI
Past
July 5, 2019 - December 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GREEN BAY, WI
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".
BW
BCU WEALTH ADVISORS, LLC
BCU WEALTH ADVISORS, LLC
CRD#: 164173 / SEC#: 801-81122
RIA
Registered Investment Advisory firm - (3/12/2015 Approved)California
Registered Investment Advisory firm - (4/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (3/13/2015 Terminated)Louisiana
Registered Investment Advisory firm - (9/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (3/12/2015 Terminated)Texas
Registered Investment Advisory firm - (3/13/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (3/13/2015 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/30/2023)
RR
California(6/30/2023)
RR
Florida(6/30/2023)
RR
Illinois(6/30/2023)
IAR
Illinois(12/18/2023)
RR
Minnesota(6/30/2023)
RR
New York(6/30/2023)
RR
North Carolina(7/5/2023)
RR
South Carolina(6/30/2023)
RR
Wisconsin(6/30/2023)
IAR
Wisconsin(12/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/5/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BCU WEALTH ADVISORS, LLC
BCU WEALTH ADVISORS, LLC
CRD#: 164173 / SEC#: 801-81122
RIA
Registered Investment Advisory firm - (3/12/2015 Approved)California
Registered Investment Advisory firm - (4/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (3/13/2015 Terminated)Louisiana
Registered Investment Advisory firm - (9/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (3/12/2015 Terminated)Texas
Registered Investment Advisory firm - (3/13/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (3/13/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 N. Milwaukee Avenue, Vernon Hills, IL 60061
Mailing Address
Phone number
(847) 932-8007
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,899 |
| AUM (Assets Under Management) | $ 534,972,633 |
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.
