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Current Employers
Keystone Financial Group, Llc

527 Wellington Way, Ste 225, Lexington, KY 40503 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2025-02-04
  • KY RA
    APPROVED
    Since 2025-02-04

Branch Locations

527 Wellington Way, Ste 225, Lexington, KY 40503 • United States

6013 Brownsboro Park Blvd Suite A, Louisville, KY 40207 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Louisville KY 06/2017 11/2018
Frank Otte Nursery Louisville KY 05/2014 06/2017
Lincoln Investment Planning, Llc Fort Washington PA 04/2019 05/2020
Unemployed Louisville KY 11/2018 04/2019
Lpl Financial, Llc Louisville KY 05/2020 Present
Keystone Financial Group Lexington KY 07/2023 Present
  • 06/2017 → 11/2018
    Ameriprise Financial Services, Inc.
    Louisville, KY
  • 05/2014 → 06/2017
    Frank Otte Nursery
    Louisville, KY
  • 04/2019 → 05/2020
    Lincoln Investment Planning, Llc
    Fort Washington, PA
  • 11/2018 → 04/2019
    Unemployed
    Louisville, KY
  • 05/2020 → Present
    Lpl Financial, Llc
    Louisville, KY
  • 07/2023 → Present
    Keystone Financial Group
    Lexington, KY
Previous Registrations
  • 2019-09-30 → 2020-05-11
    Louisville, KY
    Palm Beach Gardens, FL
    Independence, OH
  • 2019-09-30 → 2020-05-11
    Independence, OH
    Louisville, KY
Other Businesses

1. 7/5/2023: SandS Shipping; Louisville, KY; Other - Business Owner; Co-Member; Not inv. related; start date 6/6/203; 10hrs/mo..; 0hrs during trading 2. 9/26/2023: Keystone Financial Group, LLC; At reported business location(s); Registered Investment Advisor; Inv. related; start date 9/11/2023; 160hrs/mo.; 7hrs during trading; I provide investment advisory services through Keystone Financial Group, LLC, an independent investment advisor firm. I started this business activity in 9/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 11/14/2023 - Keystone Financial Group, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/22/2023 - 160 Hours Per Month/ 7 Hours During Trading 4. 02/18/2026 - ASM Solutions - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2025 - 120 hours per month/ 80 hours during trading 5. 03/11/2026 - GoalBased - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - Start Date 03/01/2026 - 20 hours per month/ 5 hours during trading 6. 03/11/2026 - SandHill Asset Management - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - Start Date 03/01/2026 - 10 hours per month/ 0 hours during trading - I provide investment advisory services through Keystone Financial Group, LLC, an independent investment advisor firm. I started this business activity in 3/2026. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-19
  • S66 Uniform Combined State Law Examination
    2019-09-19

View on SEC IAPD

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