Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Kaufman is a financial advisor at Wells Fargo Clearing Services, LLC and has been in the financial services industry since 2013. Kelly holds the Series 6, 7, 63 and 66 licenses and the SIE designation. Kelly has extensive experience providing financial planning and investment consulting services to individuals, businesses, and institutional clients. Kelly’s previous experience includes positions at LPL Financial LLC and Capital Financial Services, Inc.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
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2
WI
07/12/2022 - Present
Wells Fargo Clearing Services, LLC (GREEN BAY WI)
WI
06/12/2017 - 03/29/2022
WELLS FARGO CLEARING SERVICES, LLC (GREEN BAY WI)
CA
01/23/2017 - 05/25/2017
LPL FINANCIAL LLC (CAMARILLO CA)
WI
10/01/2014 - 01/04/2017
WELLS FARGO CLEARING SERVICES, LLC (GREEN BAY WI)
CA
03/17/2014 - 08/27/2014
LPL FINANCIAL LLC (VENTURA CA)
ND
08/21/1997 - 10/07/1997
CAPITAL FINANCIAL SERVICES, INC. (MINOT ND)
NJ
01/19/1996 - 07/14/1997
ELAN INVESTMENT SERVICES, INC. (MORRIS PLAINS NJ)
BOTH
Issued 04/03/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2014
Series 7 - General Securities Representative Examination
BC
Issued 01/18/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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