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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 Jo Herman is a financial advisor with over 24 years of experience in the industry. Kelly is currently registered with Morgan Stanley, a firm that provides investment advisory and brokerage services. Previously, Kelly worked at CITIGROUP GLOBAL MARKETS INC., IFMG SECURITIES, INC., FINANCIAL NETWORK INVESTMENT CORPORATION, and CONSECO FINANCIAL SERVICES, INC. Kelly has a broad range of experience in financial services, and is dedicated to providing clients with personalized advice and guidance. Kelly is committed to helping clients achieve their financial goals and has a strong understanding of the markets.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MI
03/29/2011 - Present
Morgan Stanley (Saginaw MI)
MI
11/15/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAGINAW MI)
NY
07/26/2004 - 11/17/2005
IFMG SECURITIES, INC. (PURCHASE NY)
CA
08/30/1999 - 07/27/2004
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
IN
06/20/1997 - 09/02/1999
CONSECO FINANCIAL SERVICES, INC. (CARMEL IN)
BOTH
Issued 11/18/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/14/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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