KEYSTONE FINANCIAL SERVICES, LLC
Adviser information for KEYSTONE FINANCIAL SERVICES, LLC last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nebraska, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,726 | $164.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1,726 | $164.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 892 | $72.4M |
| HNW Individuals | 86 | $92.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $250,000 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $32,000 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-120787 |
|---|---|
| SEC ERA File Number | 801-120787 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 308397 |
| Legal Entity Identifier | None |
Principal Office
9802 NICHOLAS STREETSUITE 315A
OMAHA
NE
United States
Monday - Friday, 8:30AM TO 4:30PM
Tel: (402) 392-1212, Fax: (402) 392-1490
Chief Compliance Officer
DOUGLAS B. PETERSON
FINANCIAL ADVISOR
9802 NICHOLAS STREET
SUITE 315A
OMAHA
NE
United States
Tel:
(402) 392-1212
B****@*******************S
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LAUG-SHOLIN, NANCY, JEAN | Individual | – | MANAGING MEMBER AND OWNER | 06/2020 | > 75% |
| Peterson, Douglas, Blake | Individual | – | CHIEF COMPLIANCE OFFICER AND FINANCIAL ADVISOR | 03/2022 | < 5% |
| SHOLIN, TRAVIS, LEE | Individual | – | PARTNER | 03/2023 | 10-25% |
| SHOLIN, JUSTIN, N | Individual | – | PARTNER | 03/2023 | 10-25% |