Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Anne Mullin is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Lakewood Ranch, FL. Kelly has been in the financial services industry since March 1995. Kelly holds FINRA Series 6, 7, 10, 24, and 66 licenses as well as several state licenses. Kelly has experience working with individual, corporate, and institutional clients. Kelly has a strong background in investment management, financial planning, and retirement planning. Kelly also has experience providing financial planning and investment advice to clients of Prudential Securities Incorporated and Prudential Mutual Fund Distributors, 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.
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
NC
05/16/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NY
12/11/1992 - 07/01/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/23/1991 - 07/06/1994
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
BOTH
Issued 10/08/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/20/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2003
Series 7 - General Securities Representative Examination
BC
Issued 01/22/1991
Series 6 - Investment Company Products/Variable Contracts 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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