Kelly L. Currence
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 Currence, who also goes by Kelly Estes Currence, Kelly Lee Estes, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1986. Kelly had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 1995 - May 15, 1997
STERNE, AGEE & LEACH, INC.
September 1, 1995 - December 1, 1995
SAL CLEARING CORPORATION
May 30, 1990 - August 3, 1995
BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC.
February 17, 1989 - June 11, 1990
MORGAN STANLEY DW INC.
March 31, 1987 - September 2, 1988
T. J. RANEY & SONS, INC.
November 21, 1986 - February 26, 1987
FIRST INVESTMENT SECURITIES, 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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
