James Daniel Keith

Employer firm

Rfg Advisory, LLC CRD 158401

$7.97B regulatory AUM 12 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2014 → Present
  Securities America, Inc.
  Williamstown, KY
• 08/2017 → Present
  Arbor Point Advisors
  Williamstown, KY
• 01/2019 → Present
  Rfg Advisory, Llc
  Williamstown, KY

Previous Registrations

• 2017-08-30 → 2019-01-30
  Arbor Point Advisors
  Williamstown, KY

Other Businesses

1 ETA Investments; YES; 1408 N. Main Street, Williamstown, KY 41097; DBA; Owner/Advisor; Start: 1/2019; 160 hrs/mo; 160 during trading hrs; DBA name for advisory and insurance activity. 2) RFG Advisory, LLC; YES; 1400 Urban Center, Ste 475, Vestavia Hills, AL 35242; RIA; 160 hrs/mo; 160 during trading hrs.; RIA Affiliate; Investment Advisor Representative. 3) JAMES KEITH - INSURANCE SALES - AGENT - INVESTMENT REALTED - START DATE: 07/2012 - LOCATED AT 1408 N Main St, Williamstown, KY 41097,

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-08-08
• S63 Uniform Securities Agent State Law Examination
  2011-02-04