Samantha L. Keeler

WESTHILL FINANCIAL ADVISORS

San Rafael, CA 94901

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CRD#: 7116371

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.

Insurance Agent; 999 5th Ave, Suite 300 San Rafael CA 94901; Description: Fixed insurance and fixed annuity sales; Start date: 2025-09-05; 5 Hours per month devoted to business during trading hours; No compensation expected.

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

CRD#: 7691

CHANDLER, AZ

Past

August 1, 2019 - October 23, 2019

WELLS FARGO CLEARING SERVICES, LLC

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".

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)

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: 1/6/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/12/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/8/2020

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 8/1/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 7/11/2019

Securities Industry Essentials Examination

Current Firm

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

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 AND PART 2B (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,212
AUM (Assets Under Management)	$ 684,408,148

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.

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Advisor Monitoring

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Samantha L. Keeler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samantha Lain Keeler's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

WESTHILL FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/6/2021

Series 63

Date: 8/12/2019

Series 7TO

Date: 12/8/2020

Series 6TO

Date: 8/1/2019

SIE

Date: 7/11/2019

Current Firm

WESTHILL FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTHILL FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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