Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelli? Claim Your ProfileKelli Roggensack is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Kelli has been in the securities industry since December 2019. Kelli is registered with the following securities authorities: FINRA, Securities Investor Protection Corporation (SIPC), and the state of Tennessee. Kelli is also registered with the state of Texas as an investment advisor representative. Kelli has passed the Series 66, Series 7TO and the SIE exams. Kelli has been associated with Merrill Lynch, Pierce, Fenner & Smith Inc. since April 2021. Kelli was previously associated with Morgan Stanley.
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
TN
07/06/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NASHVILLE TN)
TN
12/11/2019 - 05/12/2021
MORGAN STANLEY (NASHVILLE TN)
BOTH
Issued 05/06/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/11/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/03/2019
SIE - Securities Industry Essentials 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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