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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

MICHAEL WERNER KELLER

Advisor at LPL FINANCIAL LLC

SPARTA, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Feb 19, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 23, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jan 23, 2007
First registration: Feb 19, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 4510010

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 12, 2026	n/a	yes	SPARTA, NJ	Current employment
REALTA INVESTMENT ADVISORS, INC	Bd affiliated wealth	Jan 29, 2021	Jan 11, 2023	no	WILMINGTON, DE\|SPARTA, NJ	Previous registration
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	Bd affiliated wealth	Jan 4, 2021	Feb 1, 2021	no	SPARTA, NJ	Previous registration
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	Bd affiliated wealth	Apr 22, 2019	Dec 31, 2020	no	SPARTA, NJ\|ORLANDO, FL\|SPARTA, NJ	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Feb 23, 2017	Jun 12, 2018	no	WARWICK, NY\|WEBSTER, NY\|WARWICK, NY	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Apr 21, 2014	Dec 31, 2016	no	WARWICK, NY\|SPARTA, NJ\|GREENWOOD VILLAGE, IL\|WEBSTER, NY	Previous registration
GILFORD FINANCIAL CORP.	Former SEC adviser	May 27, 2011	May 14, 2014	no	NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 19, 2009	Jun 7, 2011	no	LONG ISLAND CITY, NY\|SHORT HILLS, NJ\|Greenwich, CT\|MORRISTOWN, NJ\|EAST HANOVER, NJ\|ROSELAND, NJ\|Greenwich, CT\|EAST HANOVER, NJ\|EAST HANOVER, NJ\|FORT LEE, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
REALTA INVESTMENT ADVISORS, INC	LPL FINANCIAL LLC	Jan 11, 2023	Jan 12, 2026	1,097	Firm change after gap	Ibd to ibd
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	REALTA INVESTMENT ADVISORS, INC	Feb 1, 2021	Jan 29, 2021	-3	Firm change	Ibd to ibd
CETERA ADVISORS LLC	INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	Jun 12, 2018	Apr 22, 2019	314	Firm change	Ibd to ibd
GILFORD FINANCIAL CORP.	CETERA ADVISORS LLC	May 14, 2014	Apr 21, 2014	-23	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	GILFORD FINANCIAL CORP.	Jun 7, 2011	May 27, 2011	-11	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 12, 2026 to presentfactForm ADV
→ REALTA INVESTMENT ADVISORS, INCRegistered adviserregistration: previous registration
Jan 29, 2021 to Jan 11, 2023factForm ADV
→ INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 4, 2021 to Feb 1, 2021factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Feb 23, 2017 to Jun 12, 2018factForm ADV
→ GILFORD FINANCIAL CORP.Registered adviserregistration: previous registration
May 27, 2011 to May 14, 2014factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 19, 2009 to Jun 7, 2011factForm ADV

Dated events

Occurred
Jan 11, 2023
Advisor changed firm
Michael Werner Keller left Realta Investment Advisors, Inc for Lpl Financial Llc (registered 2026-01-12)
Form ADVobserved 6 days ago