Kelly L. Straub
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 Lee Straub, CFP®, who also goes by Kelly L Straub, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1985. Kelly had worked at 11 firms and has passed the Series 65, Series 63, 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
Start date: 1988
Experience
August 16, 2024 - July 3, 2025
PURSHE KAPLAN STERLING INVESTMENTS
March 1, 2011 - December 31, 2012
LPL FINANCIAL LLC
December 6, 2010 - July 3, 2025
MERIT FINANCIAL ADVISORS
December 6, 2010 - August 16, 2024
LPL FINANCIAL LLC
December 17, 2002 - December 10, 2010
SECURITIES AMERICA ADVISORS, INC.
December 13, 2002 - December 10, 2010
SECURITIES AMERICA, INC.
December 31, 2001 - December 17, 2002
OSAIC FA, INC.
June 29, 1998 - December 17, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 25, 1998 - December 17, 2002
OSAIC FA, INC.
June 24, 1997 - June 1, 1998
NEW ENGLAND SECURITIES
October 11, 1989 - June 13, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 11, 1989 - June 13, 1997
OSAIC FA, INC.
January 22, 1988 - October 18, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 4, 1987 - January 11, 1988
PRUDENTIAL EQUITY GROUP, LLC
September 16, 1985 - July 18, 1987
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 16, 1985 - June 13, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 16, 1985 - June 13, 1997
OSAIC FA, INC.
June 18, 1985 - January 22, 1988
OSAIC FA, INC.
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
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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