Shannon K. Kelly
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.
Shannon Kathleen Kelly was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1989. Shannon had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2014 - April 5, 2016
ASCENSUS FINANCIAL SERVICES, LLC.
August 23, 2007 - April 7, 2014
P.J. ROBB VARIABLE, LLC
May 15, 2001 - July 31, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
November 11, 1998 - May 27, 1999
MELLON HR SECURITIES, INC.
January 15, 1993 - May 31, 1994
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
February 17, 1989 - October 18, 1989
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, 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
ASCENSUS FINANCIAL SERVICES, LLC.
CRD#: 147257 / SEC#: , 8-67891
Contact information
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.
