Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Ann Stromgren is a registered representative with Stifel, Nicolaus & Company, Inc. Kelly Ann has been in the securities industry since 1996. Kelly Ann has a Series 7, Series 63, and Series 65 license. Kelly Ann is currently registered with the following states: Arizona, California, Colorado, Florida, Idaho, Illinois, Indiana, Kentucky, Michigan, Nevada, Oregon, Tennessee, Texas, Virgin Islands, Virginia, Washington and Wisconsin. Kelly Ann is a member of the Finance Committee for the Humane Society of Sonoma County.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
12/06/2017 - Present
Stifel, Nicolaus & Company, Inc. (SANTA ROSA CA)
CA
08/19/1996 - 10/04/2007
A. G. EDWARDS & SONS, INC. (SANTA ROSA CA)
IA
Issued 02/12/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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