Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Suzanne Caves is a registered investment advisor with over 30 years of experience in the financial services industry. Currently, Kelly Caves is associated with Wells Fargo Clearing Services, LLC and has been with the firm since July 2020. Previously, Kelly Suzanne Caves was associated with MORGAN STANLEY, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and SMITH BARNEY INC.. Kelly Caves is a registered representative in multiple states, including California, Texas, and Colorado. Kelly Caves has a proven track record of success in providing financial advice to individuals, corporations, and institutions. Kelly Caves specializes in investment consulting, financial planning, and portfolio management.
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.
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.
Investment consulting services to institutional clients
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
TX
07/16/2020 - Present
Wells Fargo Clearing Services, LLC (BEE CAVE TX)
CA
02/09/2012 - 07/23/2020
MORGAN STANLEY (LOS ANGELES CA)
CA
11/16/1994 - 02/13/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LONG BEACH CA)
NY
07/31/1993 - 11/29/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
09/22/1987 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 03/03/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/25/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
BC
Issued 02/13/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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