KA
Kelly M. Anderson
SLD AMERICA EQUITIES
NORTH OAKS, MN
Some features on this profile are disabled
CRD#: 1819119
KA
Professional summary
Kelly Marie Anderson, who also goes by Kelly Marie Moline, is a registered financial professional currently at SLD AMERICA EQUITIES, INC. located in North Oaks, Minnesota.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 1990. Kelly has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kelly Marie Moline
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.
CRS (Client Relationship Summary) - BD
Click below to view Kelly Marie Anderson's 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®
NoneExperience
Current
June 9, 2020 - Present
SLD AMERICA EQUITIES, INC.
BD
CRD#: 36259
NORTH OAKS, MN
Past
February 26, 2018 - May 7, 2020
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
July 29, 2004 - July 17, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
Past
January 24, 2002 - July 20, 2004
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
MINNEAPOLIS, MN
Past
August 16, 1990 - October 24, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 16, 1990 - October 24, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/4/2021)
RR
Arizona(1/4/2021)
RR
Arkansas(1/4/2021)
RR
California(1/4/2021)
RR
Colorado(1/4/2021)
RR
Connecticut(1/4/2021)
RR
Delaware(1/4/2021)
RR
District of Columbia(1/4/2021)
RR
Florida(1/4/2021)
RR
Georgia(1/4/2021)
RR
Hawaii(1/4/2021)
RR
Idaho(1/4/2021)
RR
Illinois(1/4/2021)
RR
Indiana(1/4/2021)
RR
Iowa(1/4/2021)
RR
Kentucky(1/4/2021)
RR
Louisiana(1/4/2021)
RR
Maryland(1/4/2021)
RR
Massachusetts(1/4/2021)
RR
Michigan(1/4/2021)
RR
Minnesota(12/14/2020)
RR
Mississippi(1/4/2021)
RR
Missouri(1/4/2021)
RR
Montana(1/4/2021)
RR
Nebraska(1/4/2021)
RR
Nevada(1/4/2021)
RR
New Hampshire(1/4/2021)
RR
New Mexico(1/4/2021)
RR
New York(1/4/2021)
RR
North Carolina(1/4/2021)
RR
North Dakota(1/4/2021)
RR
Ohio(1/4/2021)
RR
Oklahoma(1/4/2021)
RR
Oregon(1/4/2021)
RR
Pennsylvania(1/4/2021)
RR
Puerto Rico(1/4/2021)
RR
Rhode Island(1/4/2021)
RR
South Carolina(1/4/2021)
RR
South Dakota(1/4/2021)
RR
Texas(1/4/2021)
RR
Utah(1/4/2021)
RR
Vermont(1/4/2021)
RR
Virginia(1/4/2021)
RR
Washington(1/4/2021)
RR
West Virginia(1/4/2021)
RR
Wyoming(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SLD AMERICA EQUITIES, INC.
ING AMERICA EQUITIES, INC. | VOYA AMERICA EQUITIES, INC. | SLD AMERICA EQUITIES, INC.
CRD#: 36259 / SEC#: , 8-47089
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Mailing Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Phone number
(763) 342-9429
Established
Colorado since 09/27/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| ANDERSON, KELLY MARIE | DEPUTY COMPLIANCE OFFICER | 1819119 |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| KILIAN, CONRAD JOHANN | FINANCIAL AND OPERATIONS PRINCIPAL | 6214509 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
| Regulatory Event | 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.
