Holly E. Ellsworth

D.M. KELLY & COMPANY

Des Moines, IA 50312

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CRD#: 1733179

Professional summary

Holly Elizabeth Ellsworth, who also goes by Holly Bees, Holly Elizabeth Role, is a registered financial professional currently at D.M. KELLY & COMPANY located in Des Moines, Iowa.

Holly is registered as a RR (Registered Representative) and started their career in finance in 1995. Holly has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Holly Bees | Holly Elizabeth Role

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 Holly Elizabeth Ellsworth'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

January 27, 2023 - 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 50312

CRD#: 38770

Des Moines, IA

Past

February 20, 2015 - January 20, 2023

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

CLIVE, IA

Past

October 27, 1995 - January 16, 2015

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

DES MOINES, IA

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

Iowa
(1/27/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1995

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: 6/6/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

D.M. KELLY & COMPANY

D.M. KELLY & COMPANY | DM KELLY & COMPANY

CRD#: 38770 / SEC#: , 8-48398

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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Firm Stability Insights

Holly E. Ellsworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Holly Elizabeth Ellsworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST HEARTLAND CAPITAL, INC.

LASALLE ST SECURITIES, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/1999

Series 63

Date: 7/10/1995

SIE

Date: 10/1/2018

Series 7

Date: 6/6/1995

Series 24

Date: 1/31/1997

FINRA

Current Firm

D.M. KELLY & COMPANY

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

D.M. KELLY & COMPANY

TRUST BUT VERIFY

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