Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JEFFREY MARK ALSTOT
JEFF MARK ALSTOT, JEFF ALSTOT
CRD#: 5864067
IA
Investment Adviser
B
Previous Broker
KELSEY FINANCIAL, LLCCRD#: 314950 485 E. HIGH STREET
MOORPARK, CA 93021
Registration History
201620172018201920202021202220232024202520262 FIRMS2017 - 2018 (<1 year)IAKELSEY FINANCIAL, LLC (CRD# 314950)2021 - Present (3 years)BUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2016 - 2017 (1 year)IAKELSEY FINANCIAL, LLC (CRD# 171901)2018 - 2021 (3 years)IAUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2017 - 2017 (<1 year)
License(s)

State Registrations

IA
California 6/25/2021
IA
Texas 9/9/2021
Current Registration(s)
IA
KELSEY FINANCIAL, LLC (CRD#:314950)
485 E. HIGH STREET, MOORPARK, CA 93021
Registered with this firm since 6/25/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/02/2018 - 08/01/2021 KELSEY FINANCIAL, LLC (CRD#:171901) MOORPARK, CA
B
 10/27/2017 - 05/01/2018 DFPG INVESTMENTS, INC. (CRD#:155576) Calabasas, CA
IA
 02/25/2017 - 04/23/2018 AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC (CRD#:160322) CALABASAS, CA
B
 11/28/2016 - 11/08/2017 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) CALABASAS, CA
IA
 02/17/2017 - 04/25/2017 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) CALABASAS, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.