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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly A. Smith is a financial advisor with Fidelity Personal And Workplace Advisors. Kelly has been in the financial industry since 2003 and has been registered with FINRA and the SEC since 2001. Kelly's current registrations are with Illinois and Texas. Kelly has experience working with individuals, high-net-worth individuals, corporations, and businesses. Kelly offers financial planning, educational seminars, portfolio management for individuals and businesses, and selection of other advisors. Kelly is a Series 7, 63, 9, and 10 licensed advisor and holds the SIE designation.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
TX
04/03/2023 - Present
Fidelity Personal AND Workplace Advisors (WESTLAKE TX)
NE
07/27/2021 - 12/16/2022
TD AMERITRADE, INC. (OMAHA NE)
IL
10/20/2005 - 12/16/2022
CHARLES SCHWAB & CO., INC. (Chicago IL)
NE
03/24/2004 - 10/10/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
TX
03/22/2001 - 07/16/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 06/21/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/08/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/30/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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