KH
Kathleen C. Halliwell
D.M. KELLY & COMPANY
Des Moines, IA 50312
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CRD#: 1216284
KH
Professional summary
Kathleen Crichton Halliwell, who also goes by Kathleen Bowen Crichton, is a registered financial professional currently at D.M. KELLY & COMPANY located in Des Moines, Iowa.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1992. Kathleen has worked at 2 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, Series 57TO, SIE, Series 7, Series 53, Series 10, Series 14, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen Bowen Crichton
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Crichton Halliwell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 15, 2000 - Present
D.M. KELLY & COMPANY
Office #1: 3900 Ingersoll Avenue Suite 300, Des Moines, IA 50312Office #2: 3900 Ingersoll Avenue Suite 300, Des Moines, IA 50312BD
CRD#: 38770
Des Moines, IA
Past
October 26, 1992 - June 30, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/5/2023)
RR
Arkansas(7/5/2023)
RR
California(7/5/2023)
RR
Colorado(7/5/2023)
RR
District of Columbia(7/5/2023)
RR
Florida(7/5/2023)
RR
Georgia(7/5/2023)
RR
Hawaii(7/5/2023)
RR
Idaho(7/5/2023)
RR
Illinois(7/5/2023)
RR
Indiana(7/5/2023)
RR
Iowa(11/17/2000)
RR
Kansas(7/5/2023)
RR
Kentucky(7/5/2023)
RR
Maryland(7/5/2023)
RR
Massachusetts(7/5/2023)
RR
Michigan(7/5/2023)
RR
Minnesota(7/5/2023)
RR
Missouri(7/5/2023)
RR
Montana(7/5/2023)
RR
Nebraska(7/5/2023)
RR
Nevada(7/5/2023)
RR
New Jersey(7/5/2023)
RR
New Mexico(7/5/2023)
RR
New York(7/5/2023)
RR
North Carolina(7/5/2023)
RR
North Dakota(7/5/2023)
RR
Ohio(7/5/2023)
RR
Oklahoma(7/5/2023)
RR
Oregon(7/5/2023)
RR
Pennsylvania(7/5/2023)
RR
South Carolina(2/28/2024)
RR
South Dakota(7/5/2023)
RR
Tennessee(7/5/2023)
RR
Texas(7/5/2023)
RR
Virginia(7/5/2023)
RR
Washington(7/5/2023)
RR
West Virginia(7/5/2023)
RR
Wisconsin(7/5/2023)
RR
Wyoming(7/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 11/13/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 4/5/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 9/30/2022
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DK
D.M. KELLY & COMPANY
D.M. KELLY & COMPANY | DM KELLY & COMPANY
CRD#: 38770 / SEC#: , 8-48398
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3900 Ingersoll Avenue Suite 300, Des Moines, IA 50312
Mailing Address
3900 Ingersoll Avenue Suite 300, Des Moines, IA 50312
Phone number
(515) 221-1133
Established
Iowa since 05/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIEL M KELLY 2004 TRUST, PATRICK B. KELLY TRUSTEE | NON-VOTING SHAREHOLDER | |
| HALLIWELL, KATHLEEN CRICHTON | CHIEF COMPLIANCE OFFICER, OSJ SUPERVISOR | |
| KELLY, DANIEL MICHAEL | PRESIDENT, VOTING SHAREHOLDER OF DANIEL M KELLY 2004 TRUST | 266912 |
| KELLY, PATRICK BENJAMIN | TRUSTEE OF DANIEL M KELLY 2004 TRUST | |
| LORBIECKI, DAVID PALMER | EXECUTIVE VICE PRESIDENT | 2357042 |
| SHIRES, KEVIN ALEXANDER | CHIEF FINANCIAL OFFICER, FINOP | 4974827 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
D.M. KELLY & COMPANY
CRD#: 38770Des Moines, IA 50312TRUST BUT VERIFY
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