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Keith Nielsen

Waterloo Capital
29 Years of Experience
Waco, TX
1 DisclosureMay Earn CommissionSells Insurance
View SEC Summary
View SEC Summary

Keith Nielsen is a registered investment advisor at Waterloo Capital, based in Waco, TX, with 29 years of industry experience. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 8 more. Their firm serves 2,797 clients with $2.3B in assets under management.

Waterloo Capital
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
57 advisors
Number of Clients
2,797 clients
Average Client Portfolio
$808K average
Assets Under Management
$2.3B

Fee Structure

Minimum Investment:$1M
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum advisory fee is 2.0% and is negotiable. Sub-adviser or model manager platform fees are charged in addition to the advisory fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1512 Lake Air Drive, Suite 110, Waco, TX, 76710

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Keith volunteers for the Pete Session for Congress campaign and is an officer/director for Hap Nielsen Investments, a DBA used for his advisory business, taking nearly full-time. He is also an insurance agent with Hap Nielsen Group and a core member assisting in planning church retreats.

Employment History
Current Registrations
Waterloo Capital
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
Independent Financial Group, LLCBroker
August 2021 - September 2023 · 2 yrs 1 mo
Independent Financial Group, LLC
August 2021 - September 2023 · 2 yrs 1 mo
Cetera Advisor Networks LLCBroker
November 2017 - August 2021 · 3 yrs 9 mos
Cetera Advisor Networks LLC
November 2017 - August 2021 · 3 yrs 9 mos
Girard Securities, INC.
February 2010 - November 2017 · 7 yrs 9 mos
Girard Securities, INC.Broker
January 2010 - November 2017 · 7 yrs 10 mos
Next Financial Group, INC.Broker
August 2007 - December 2009 · 2 yrs 4 mos
Next Financial Group, INC.
August 2007 - December 2009 · 2 yrs 4 mos
Regal Advisory Services, INC.
February 2007 - September 2007 · 7 mos
Regal Securities, INC.Broker
January 2007 - September 2007 · 8 mos
Samco Financial Services, INC.
July 2001 - December 2006 · 5 yrs 5 mos
Samco Financial Services, INC.Broker
July 2001 - December 2006 · 5 yrs 5 mos
Service Asset Management CompanyBroker
May 2001 - August 2001 · 3 mos
UBS Painewebber INC.Broker
April 1998 - June 2001 · 3 yrs 2 mos
Edward D. Jones & CO., L.P.Broker
January 1997 - April 1998 · 1 yr 3 mos
State Registrations1 state
TX
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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