Joseph J. Weeks

KEY CAPITAL MANAGEMENT

Hendersonville, TN 37075

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CRD#: 7293098

Professional summary

Joseph Jackson Weeks is a registered financial advisor currently at KEY CAPITAL MANAGEMENT, INC. located in Hendersonville, Tennessee.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Joseph has worked at 4 firms and has passed the Series 66, 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.

SFA FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/18/2020 ADDRESS: 2176 West Street Ste 100, Germantown TN 38138, United States DESCRIPTION: Fixed Insurance Sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Jackson Weeks'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

March 8, 2024 - Present

KEY CAPITAL MANAGEMENT, INC.

Office #1: 181 East Main St. Suite #7, Hendersonville, TN 37075

RIA

CRD#: 173773

Hendersonville, TN

Past

August 10, 2023 - February 27, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BRENTWOOD, TN

Past

August 10, 2023 - February 27, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BRENTWOOD, TN

Past

December 3, 2020 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

BRENTWOOD, TN

Past

October 14, 2020 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

BRENTWOOD, TN

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".

KEY CAPITAL MANAGEMENT, INC.

KEY CAPITAL MANAGEMENT, INC. | WOOD FINANCIAL GROUP | PRESTAGE, WILLIAM D

CRD#: 173773 / SEC#: 801-126114

RIA

Registered Investment Advisory firm - (7/15/2022 Approved)

Louisiana

Registered Investment Advisory firm - (11/1/2022 Terminated)

Tennessee

Registered Investment Advisory firm - (8/2/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/26/2022 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

Tennessee
(3/8/2024)

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: 11/9/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/14/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/23/2020

Securities Industry Essentials Examination

Current Firm

KEY CAPITAL MANAGEMENT, INC.

KEY CAPITAL MANAGEMENT, INC. | WOOD FINANCIAL GROUP | PRESTAGE, WILLIAM D

CRD#: 173773 / SEC#: 801-126114

RIA

Registered Investment Advisory firm - (7/15/2022 Approved)

Louisiana

Registered Investment Advisory firm - (11/1/2022 Terminated)

Tennessee

Registered Investment Advisory firm - (8/2/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/26/2022 Terminated)

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Contact information

Main Address

181 East Main St. Suite #7, Hendersonville, TN 37075

Mailing Address

Phone number

(615) 826-5749

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

WRAP FEE PROGRAM (1/23/2025)

ADV PART 2A (1/23/2025)

Regulatory assets under management

Total Number of Accounts	2,171
AUM (Assets Under Management)	$ 292,985,635

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

Firm Stability Insights

Joseph J. Weeks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Jackson Weeks's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

KEY CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2020

Series 7TO

Date: 10/14/2020

SIE

Date: 9/23/2020

Current Firm

KEY CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEY CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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