Kelly F. Bills
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 Farrell Bills was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1986. Kelly had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2008 - May 27, 2016
NATIONAL PLANNING CORPORATION
October 28, 2003 - October 2, 2008
HORNOR, TOWNSEND & KENT, LLC
September 19, 2001 - November 5, 2003
PRINCIPAL SECURITIES, INC.
July 8, 2000 - September 12, 2001
OSAIC FS, INC.
December 16, 1999 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
July 27, 1998 - October 27, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 27, 1998 - October 27, 1999
OSAIC FA, INC.
October 4, 1996 - September 1, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 15, 1996 - September 24, 1996
OSAIC WEALTH, INC.
March 16, 1994 - July 30, 1996
CADARET, GRANT & CO., INC.
February 1, 1994 - March 14, 1994
OMNI BROKERAGE, INC.
June 7, 1991 - August 12, 1993
CADARET, GRANT & CO., INC.
October 8, 1990 - July 5, 1991
WOODBURY FINANCIAL SERVICES, INC.
November 2, 1988 - November 25, 1988
CADARET, GRANT & CO., INC.
June 7, 1988 - November 17, 1988
FOCUS SECURITIES, INC.
November 24, 1986 - June 13, 1988
WOODBURY FINANCIAL SERVICES, 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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
