Kelly A. Russell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kelly Ann Russell, who also goes by Kelly Ann Goodman, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1981. Kelly had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2023 - October 29, 2025
BNY MELLON CAPITAL MARKETS, LLC
May 8, 2014 - October 29, 2025
PERSHING LLC
July 31, 2008 - October 4, 2013
ADVISORS ASSET MANAGEMENT, INC.
May 2, 2008 - October 4, 2013
ADVISORS ASSET MANAGEMENT, INC.
April 2, 1997 - June 9, 2006
DWS DISTRIBUTORS, INC.
March 20, 1989 - November 5, 1996
WELLS FARGO CLEARING SERVICES, LLC
July 15, 1987 - April 15, 1989
KEMPER FINANCIAL SERVICES, INC.
June 11, 1985 - July 18, 1987
INVESTORS BROKERAGE SERVICES, INC.
November 17, 1981 - May 8, 1985
PETRO-LEWIS SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationCurrent Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
