Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Kelly is a financial advisor with over 30 years of experience in the industry. She currently works at Raymond James & Associates, Inc. in New York, NY. Previously, Stephanie held positions at Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Moors & Cabot, Inc., and Brian Cohn, Inc. Stephanie holds Series 3, 7, 22, 31, 63 and 65 licenses. Her areas of expertise include portfolio management, financial planning, and pension consulting.
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.
Please see note in schedule d - miscellaneous
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
NY
06/14/2021 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
06/01/2009 - 02/21/2017
MORGAN STANLEY (NEW YORK NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
12/17/2001 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
09/29/1994 - 01/08/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
03/28/1991 - 08/31/1994
MOORS & CABOT, INC. (BOSTON MA)
VA
01/09/1991 - 01/09/1991
BRIAN COHN, INC. (VINT HILL VA)
IA
Issued 05/31/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/2012
Series 3 - National Commodity Futures Examination
BC
Issued 06/15/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 07/01/1991
Series 7 - General Securities Representative Examination
BC
Issued 01/07/1991
Series 22 - Direct Participation Programs 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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