Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Gromoll is a financial advisor with Charles Schwab & CO., Inc. Kelly has been in the financial industry since October 23, 2004. Kelly is currently registered with the state of Texas and has been registered in multiple states throughout her career. Kelly is a Series 7 and 66 licensed representative. In addition to being a registered representative, Kelly has earned the Series 24 General Securities Principal Examination. Kelly's experience includes working with TD AMERITRADE, INC., SCOTTRADE, INC., NYLIFE SECURITIES LLC and BNP PARIBAS SECURITIES CORP.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
09/13/2022 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
02/26/2018 - 05/11/2024
TD AMERITRADE, INC. (WestLake TX)
AZ
04/07/2017 - 02/26/2018
SCOTTRADE, INC. (SURPRISE AZ)
AZ
11/20/2014 - 09/21/2015
NYLIFE SECURITIES LLC (SCOTTSDALE AZ)
NY
05/03/2001 - 03/06/2008
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
03/14/2000 - 12/13/2000
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
02/19/1997 - 10/29/1999
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
01/24/1995 - 03/05/1996
HSBC SECURITIES, INC. (NEW YORK CITY NY)
NY
07/14/1994 - 09/27/1994
EURO BROKERS MAXCOR INC. (NEW YORK NY)
BOTH
Issued 12/29/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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