Kelly R. Holloway

SIEBERT WILLIAMS SHANK & CO.

New York, NY 10005

Some features on this profile are disabled

CRD#: 1368668

Professional summary

Kelly Renard Holloway MR, who also goes by Kelly Renard Holloway, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 1986. Kelly has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kelly Renard Holloway

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kelly Renard Holloway MR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 5, 2019 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 100 Wall Street 18th Floor, New York, NY 10005

CRD#: 42568

New York, NY

Past

April 2, 2013 - November 5, 2019

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

NEW YORK, NY

Past

January 3, 2011 - March 21, 2013

CASTLEOAK SECURITIES, LP

CRD#: 125334

NEW YORK, NY

Past

April 28, 2010 - December 21, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 2, 2008 - April 30, 2010

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

January 19, 1999 - September 12, 2008

VINING-SPARKS IBG, LLC

CRD#: 27502

STAMFORD, CT

Past

November 6, 1991 - February 18, 1997

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 24, 1989 - November 13, 1990

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 6, 1989 - April 3, 1989

SCHAEFER SECURITIES, INC.

CRD#: 18046

Past

February 26, 1987 - May 17, 1988

U.S. ASSOCIATES, INC.

CRD#: 13511

Past

November 10, 1986 - March 23, 1987

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

October 24, 1986 - November 17, 1986

BRYAN, WORLEY & CO., INC.

CRD#: 12992

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(11/5/2019)

Arkansas
(4/11/2024)

California
(11/5/2019)

Colorado
(11/5/2019)

Connecticut
(11/5/2019)

District of Columbia
(11/5/2019)

Florida
(11/5/2019)

Georgia
(11/5/2019)

Illinois
(11/5/2019)

Louisiana
(11/5/2019)

Massachusetts
(11/5/2019)

Missouri
(11/5/2019)

Nevada
(11/5/2019)

New Mexico
(11/5/2019)

New York
(11/5/2019)

Ohio
(11/5/2019)

Oklahoma
(11/5/2019)

Rhode Island
(11/5/2019)

Texas
(11/5/2019)

Washington
(11/5/2019)

Exams

State Security Law Exam

Series 63

Date: 1/25/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Wall Street 18th Floor, New York, NY 10005

Mailing Address

100 Wall Street 18th Floor, New York, NY 10005

Phone number

(646) 775-4850

Established

Delaware since 03/10/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SHANK WILLIAMS CISNEROS, LLC	OWNER
CALABRISOTTO, DIANNE NMN	AML OFFICER	1273900
CALABRISOTTO, DIANNE NMN	CHIEF COMPLIANCE OFFICER & COO	1273900
CHANDA, ATEESH SINGH	CHIEF LEGAL OFFICER	6973151
DIAZ, DANIEL	FINANCIAL PRINCIPAL	2214417
HALL, GARY	CO-PRESIDENT	4393662
SHANK-WERDLOW, SUZANNE FRANCES	CEO, DIRECTOR OF PARENT	1860931
THOMPSON, WILLIAM COLRIDGE JR	CHIEF ADMINISTRATIVE OFFICER	2316101
WARNER, SOBANI MULENGA	CO-PRESIDENT	1732009

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kelly R. Holloway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kelly Renard Holloway MR's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE WILLIAMS CAPITAL GROUP, L.P.

CASTLEOAK SECURITIES, LP

OPPENHEIMER & CO. INC.

JEFFERIES LLC

VINING-SPARKS IBG, LLC

LEHMAN BROTHERS INC.

J.P. MORGAN SECURITIES LLC

SCHAEFER SECURITIES, INC.

U.S. ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BRYAN, WORLEY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/25/2001

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1986

Series 24

Date: 6/27/2001

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIEBERT WILLIAMS SHANK & CO., LLC

TRUST BUT VERIFY

Similar Advisors