Kelly T. Ullom
Professional summary
Kelly Todd Ullom is a registered financial advisor currently at OSAIC WEALTH, INC. located in Kansas City, Missouri and SUNSET FINANCIAL SERVICES, INC. located in Kansas City, Missouri.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Kelly has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Todd Ullom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kelly Todd Ullom's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 3520 Broadway Blvd, Kansas City, MO 64111July 8, 1995 - Present
SUNSET FINANCIAL SERVICES, INC.
Office #1: 3520 Broadway, Kansas City, MO 64111June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 3520 Broadway Blvd, Kansas City, MO 64111November 14, 2014 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
November 14, 2014 - June 14, 2024
SECURITIES AMERICA, INC.
April 9, 1999 - November 24, 2015
SUNSET FINANCIAL SERVICES, INC.
January 3, 1994 - June 21, 1995
ROBERT THOMAS SECURITIES, INC
July 12, 1990 - January 7, 1994
VSR FINANCIAL SERVICES, INC.
May 24, 1989 - March 6, 1990
AMERITAS INVESTMENT COMPANY, LLC
November 28, 1986 - February 4, 1987
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/14/2024)
(6/14/2024)
(11/1/1996)
(6/14/2024)
(6/14/2024)
(6/26/1997)
(11/13/2024)
(10/24/1995)
(6/14/2024)
(4/16/1996)
(1/31/2001)
(1/31/2001)
(1/18/1996)
(6/14/2024)
(6/6/1998)
(6/14/2024)
(1/31/2001)
(1/31/2001)
(1/16/1996)
(6/14/2024)
(6/14/2024)
(6/14/2024)
(6/5/1997)
(6/14/2024)
(6/14/2024)
(6/20/2024)
(1/17/1996)
(5/3/1999)
(6/25/2024)
(8/20/1997)
(4/18/2025)
(1/16/1996)
(1/31/2001)
(6/14/2024)
(6/14/2024)
(1/31/2001)
(2/6/2001)
(7/10/1995)
(6/14/2024)
(10/15/1997)
(2/27/1996)
(6/14/2024)
(5/11/2015)
(8/18/1997)
(1/31/2001)
(6/14/2024)
(6/14/2024)
(6/24/2003)
(6/14/2024)
(1/31/2025)
(1/17/1996)
(1/31/2001)
(1/17/1996)
(6/14/2024)
(6/14/2024)
(1/16/1996)
(1/17/1996)
(1/31/2001)
(6/14/2024)
(12/15/1998)
(1/31/2001)
(6/14/2024)
(1/16/1996)
(2/1/2001)
(6/14/2024)
(2/1/2001)
(6/14/2024)
(6/14/2024)
(6/14/2024)
(1/31/2001)
(1/18/1996)
(10/17/1997)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
Company Information
OSAIC WEALTH, INC.
CRD#: 23131Kansas City, MO 64111TRUST BUT VERIFY
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