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SK

Samantha L. Keeler

WESTHILL FINANCIAL ADVISORS
San Rafael, CA 94901
CRD#: 7116371
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SK
Samantha Lain KeelerWESTHILL FINANCIAL ADVISORS

Professional summary

Samantha Lain Keeler, who also goes by Samantha Keeler, is a registered financial advisor currently at WESTHILL FINANCIAL ADVISORS, INC. located in San Rafael, California.

Samantha is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Samantha has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Samantha Keeler

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 Samantha Lain Keeler'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

June 13, 2024 - Present

WESTHILL FINANCIAL ADVISORS, INC.

Office #1: 999 Fifth Ave., Suite 300, San Rafael, CA 94901
RIA
CRD#: 152506
San Rafael, CA
Past

January 8, 2021 - May 30, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHANDLER, AZ
Past

December 3, 2020 - May 30, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHANDLER, AZ
Past

August 1, 2019 - October 23, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MESA, AZ

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".
WF
WESTHILL FINANCIAL ADVISORS, INC.
TADDEI, LUDWIG & ASSOCIATES, INC. | WESTHILL FINANCIAL ADVISORS, INC.

CRD#: 152506 / SEC#: 801-71005

RIA
Registered Investment Advisory firm - (1/21/2010 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
California
(6/13/2024)
IAR
Texas
(7/25/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/8/2020
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/1/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/11/2019
Securities Industry Essentials Examination

Current Firm

WF
WESTHILL FINANCIAL ADVISORS, INC.
TADDEI, LUDWIG & ASSOCIATES, INC. | WESTHILL FINANCIAL ADVISORS, INC.

CRD#: 152506 / SEC#: 801-71005

RIA
Registered Investment Advisory firm - (1/21/2010 Approved)
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Contact information

Main Address
999 Fifth Ave., Suite 300, San Rafael, CA 94901
Mailing Address
Phone number
(415) 456-2292
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WESTHILL FINANCIAL FORM ADV PART 2A (3/12/2026)

Regulatory assets under management

Total Number of Accounts1,272
AUM (Assets Under Management)$ 789,441,128

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

WESTHILL FINANCIAL ADVISORS, INC.

CRD#: 152506San Rafael, CA 94901

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