KF
Keaton Falk
RIA ADVISORY GROUP
DES MOINES, IA 50309
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CRD#: 7597777
KF
Professional summary
Keaton Falk is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in Des Moines, Iowa.
Keaton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Keaton has worked at 3 firms and has passed the Series 63, Series 65, 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.
AMERITAS WEALTH ADVISORS; SAME AS BRANCH; INV REL; FINANCIAL ADVISORY SERVICE; FINANCIAL ADVISOR; START DATE=07/2022; HRS/MO=200; TRADING HRS/MO=160; SOLICIT INVESTMENT AND INSURANCE CLIENTS, ADVISE ON FINANCIAL SITUATION AND PLAN FOR FINANCIAL FUTURE * ENVISION WEALTH NETWORK; SAME AS BRANCH; INV REL; INSURANCE AGENCY; FINANCIAL ADVISOR; START DATE=07/2022; HRS/MO=200; TRADING HRS/MO=160; SALES OF INSURANCE, SECURITIES AND WEALTH MANAGEMENT * RESOLVE; INV REL; SAME AS BRANCH; INSURANCE SALES; AGENT; START DATE=01/2024; HRS/MO=32; TRADING HRS/MO=32; HELP (DOCTORS) RESIDENTS, FELLOW, AND ATTENDINGS NEGOTIATE THEIR FUTURE EMPLOYMENT CONTRACTS
CRS (Client Relationship Summary) - RIA
Click below to view Keaton Falk'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
July 10, 2024 - Present
RIA ADVISORY GROUP, LLC
Office #1: 500 Sw 7th Street Suite 204, Des Moines, IA 50309Office #2: 6300 South Old Village Place Suite 100, Sioux Falls, SD 57108RIA
CRD#: 152566
DES MOINES, IA
Past
November 22, 2022 - July 11, 2024
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
August 22, 2022 - July 11, 2024
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
LINCOLN, NE
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".
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 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.Highlighted states indicate IAR registrations
IAR
South Dakota(7/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/22/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Sw 7th Street Suite 204, Des Moines, IA 50309
Mailing Address
Phone number
(515) 965-8588
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
Red Flags
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Company Information
RIA ADVISORY GROUP, LLC
CRD#: 152566Des Moines, IA 50309TRUST BUT VERIFY
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