The secret to financial success is inside yourself. Be a critical thinker with patient confidence. Develop discipline and courage.”

Ben Graham

Safety & Regulation

Safety of Assets

At Keystone it is our priority to safeguard our clients' assets. All assets managed for our clients are held in the clients' names by a third-party custodian, such as Charles Schwab & Company, JPMorgan, or Fidelity. These third-party custodians safeguard our clients' assets and execute the transactions that we recommend. Using these first-rate third-party custodians creates a secure relationship between the client, Keystone, and the custodian. These custodians provide our clients with confirmations of all transactions, monthly statements, and account balances.


As a Registered Investment Advisor, Keystone is regulated by numerous financial regulatory agencies and is subject to rigorous examination. All custodians holding client assets are regulated by Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). FINRA is a self-regulatory organization with supervisory jurisdiction over all securities firms that do business with the public. The rules and regulations enforced by FINRA and the SEC are wide-ranging and meticulous. Any failure to comply could result in criminal action, fines, or penalties.