JF
Joshua Floyd
KEEL POINT
Brentwood, TN 37027
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CRD#: 7758314
JF
Professional summary
Joshua Floyd Sr., who also goes by Josh Floyd, Joshua James Floyd Sr., Joshua James Floyd, Joshua Floyd, is a registered financial advisor currently at KEEL POINT, LLC located in Brentwood, Tennessee and KEEL POINT CAPITAL, LLC located in Brentwood, Tennessee.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Joshua has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh Floyd | Joshua James Floyd Sr. | Joshua James Floyd | Joshua Floyd
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.
I am still licensed as a health insurance and life insurance agent with HealthMarkets insurance agency. But I am not writing any new policies. It is not investment related. It is in Brentwood, TN. I am spending maybe 1 hour a month referring existing clients to other agents. The reason my appointments are still active with them is because I receive residual income on previously sold policies. The plan is to do so until my already paid advance account is paid back/down. That amount left to pay back is close to $5k. My guess/hope is that it will be zeroed out/completely paid back in a few months/before the end of the year. At that time, the plan is to appoint/contract with life insurance carriers through Keel Point and resign from HealthMarkets completely.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Floyd Sr.'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
May 23, 2024 - Present
KEEL POINT, LLC
Office #1: 7000 Executive Center Drive, Suite 100, Brentwood, TN 37027RIA
CRD#: 127902
Brentwood, TN
Current
October 5, 2023 - Present
KEEL POINT CAPITAL, LLC
Office #1: 7000 Executive Center Drive Suite 100, Brentwood, TN 37027BD
CRD#: 6769
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".
KP
KEEL POINT, LLC
BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC
CRD#: 127902 / SEC#: 801-62249
RIA
Registered Investment Advisory firm - (8/1/2003 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Tennessee(12/13/2023)
IAR
Tennessee(5/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/4/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KEEL POINT, LLC
BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC
CRD#: 127902 / SEC#: 801-62249
RIA
Registered Investment Advisory firm - (8/1/2003 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Church Street Suite 500, Huntsville, AL 35801
Mailing Address
Phone number
(256) 704-5111
Established
Firm type
Fiscal year end
# of Employees
76
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
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.
