Stephen M. Kelker
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.
Stephen Michael Kelker was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 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
September 28, 2009 - March 27, 2017
SII INVESTMENTS, INC.
September 28, 2009 - March 27, 2017
SII INVESTMENTS, INC.
September 29, 2006 - October 26, 2009
MAIN STREET ADVISORS, LLC
September 29, 2006 - October 26, 2009
MAIN STREET SECURITIES, LLC
July 3, 2001 - October 2, 2006
INVEST FINANCIAL CORPORATION
June 9, 1999 - October 2, 2006
INVEST FINANCIAL CORPORATION
July 28, 1993 - June 8, 1999
FSC SECURITIES CORPORATION
October 13, 1992 - July 28, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 28, 1991 - October 15, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 11, 1990 - June 6, 1991
FSC SECURITIES CORPORATION
October 15, 1988 - September 27, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 15, 1988 - September 27, 1990
PRUCO SECURITIES, LLC.
June 20, 1988 - September 6, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 20, 1988 - September 6, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 20, 1988 - September 6, 1988
OSAIC FA, INC.
July 22, 1983 - September 27, 1990
PRUCO SECURITIES, LLC.
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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
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.
