Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelley? Claim Your ProfileKelley Sullivan is a financial advisor with over 20 years of experience in the financial services industry. Kelley has a Series 7 and 63 license and is also a registered Investment Advisor. Kelley specializes in providing financial advice to individuals, businesses, and institutions. Kelley is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Stuart, FL, where she has worked since 2009. Kelley has a proven track record of success in helping clients achieve their financial goals. Kelley holds the SIE designation and is a strong advocate for professional development.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
09/21/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STUART FL)
FL
08/19/2016 - 09/11/2020
EDWARD JONES (PALM CITY FL)
FL
11/16/2011 - 08/24/2016
WELLS FARGO ADVISORS, LLC (STUART FL)
FL
10/23/2009 - 11/17/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STUART FL)
FL
10/20/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (STUART FL)
FL
08/11/2003 - 10/18/2006
WACHOVIA SECURITIES, LLC (STUART FL)
NC
02/14/2000 - 08/30/2001
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
09/26/1997 - 02/14/2000
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
IA
Issued 4/29/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/15/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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