Derek S. Ketcho

UPSTREAM FINANCIAL ADVISORS LLC

Victoria, MN

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CRD#: 7422013

Professional summary

Derek Sean Ketcho is a registered financial advisor currently at UPSTREAM FINANCIAL ADVISORS LLC located in Victoria, Minnesota.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Derek has worked at 3 firms .

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Sean Ketcho'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®

None

Experience

Current

April 2, 2024 - Present

UPSTREAM FINANCIAL ADVISORS LLC

RIA

CRD#: 329292

Victoria, MN

Past

October 24, 2022 - April 2, 2024

CAHILL FINANCIAL ADVISORS, INC.

RIA

CRD#: 109890

EDINA, MN

Past

August 6, 2021 - September 26, 2022

JNBA FINANCIAL ADVISORS, LLC

RIA

CRD#: 106550

BLOOMINGTON, MN

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

Minnesota
(4/2/2024)

IAR

Texas
(5/14/2025)

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

Current Firm

UPSTREAM FINANCIAL ADVISORS LLC

CRD#: 329292 / SEC#:

Minnesota

Registered Investment Advisory firm - (4/2/2024 Approved)

Texas

Registered Investment Advisory firm - (4/30/2025 Conditional Restricted)

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Contact information

Main Address

Victoria, MN

Mailing Address

Phone number

(612) 429-6092

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 7,350,432

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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Derek S. Ketcho

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Sean Ketcho's CRS (Customer Relationship Summary).

Certified licenses

Experience

UPSTREAM FINANCIAL ADVISORS LLC

CAHILL FINANCIAL ADVISORS, INC.

JNBA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Current Firm

UPSTREAM FINANCIAL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

UPSTREAM FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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