Kevin Dean Keller

Current Employers

Delta Investment Management, Llc

708 Montgomery Street, San Francisco, CA 94111 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2021-08-12

SC RA
APPROVED

Since 2021-08-12

Branch Locations

Catawba, SC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Ohio National Financial Services	Charlotte	NC	02/2011	02/2018
The O. N. Equity Sales Company	Cincinnati	OH	08/2013	02/2018
Retirement Wealth Advisors, Inc.	Charlotte	NC	06/2018	04/2019
Northstar Financial & Retirement Planning, Llc	Charlotte	NC	02/2018	Present
Kp Farms	Carlisle	SC	12/2001	Present
Keller Carolina Realty Group	Charlotte	NC	02/2018	Present
Formulafolio Investments, Inc.	Charlotte	NC	06/2018	04/2019
Delta Investment Management, Llc	Catawba	SC	04/2019	Present
Carolina Piedmont Investments, Llc	Charlotte	NC	08/2023	Present

02/2011 → 02/2018

Ohio National Financial Services

Charlotte, NC
08/2013 → 02/2018

The O. N. Equity Sales Company

Cincinnati, OH
06/2018 → 04/2019

Retirement Wealth Advisors, Inc.

Charlotte, NC
02/2018 → Present

Northstar Financial & Retirement Planning, Llc

Charlotte, NC
12/2001 → Present

Kp Farms

Carlisle, SC
02/2018 → Present

Keller Carolina Realty Group

Charlotte, NC
06/2018 → 04/2019

Formulafolio Investments, Inc.

Charlotte, NC
04/2019 → Present

Delta Investment Management, Llc

Catawba, SC
08/2023 → Present

Carolina Piedmont Investments, Llc

Charlotte, NC

Previous Registrations

2018-09-27 → 2019-04-11

Brookstone Wealth Advisors, Llc

Charlotte, NC

Greenville, SC

Asheville, NC

Hendersonville, NC
2018-09-27 → 2019-04-11

Brookstone Asset Management, Llc

Charlotte, NC

Other Businesses

NorthStar Financial and Retirement Planning; investment related; 2550 Landsford Road, Catawba, SC 29704a; Insurance; Insurance Advisor; started 02/2018; 100 hours/month devoted; 75 hours/month devoted during securities trading hours; sale of insurance and investment advisory services. KP Farms; non investment related; 2880 Sweet Hope Church Rd., Carlisle, SC 29031; Timber Farm; Owner; started 12/2001; 20 hours/month devoted; 2 hours/month devoted during securities trading hours; road maintenance and wildlife maintenance. Keller Carolina Realty Group; investment related; 3430 Toringdon Way, Charlotte, NC 28277; real estate sales; Business and Marketing Manager; started 02/2018; 50 hours/month devoted; 20 hours/month devoted during securities trading hours; marketing and business management for wife's real estate firm. Carolina Piedmont Investments, LLC; investment related; address 2253 Masons Bend Drive, Fort Mill SC 29708; real property investments; Managing Member (1/3rd ownership); started 08/2023; 12 hours/month devoted; 2 hours/month devoted during securities trading hours; marketing and business management.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-09-24
S63	Uniform Securities Agent State Law Examination	1992-06-24

S65 Uniform Investment Adviser Law Examination

2018-09-24
S63 Uniform Securities Agent State Law Examination

1992-06-24

View on SEC IAPD