KW
Kelli A. Wallace
FINANCIAL SECURITY MANAGEMENT,
Lakewood, CO 80227-6551
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CRD#: 2189085
KW
Professional summary
Kelli Ann Wallace, who also goes by Kelli A Wallace, is a registered financial advisor currently at FINANCIAL SECURITY MANAGEMENT, INC located in Lakewood, Colorado.
Kelli is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Kelli has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelli A Wallace
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.
1) Insurance Agent, provides various life, disability, compensated for services, about 10% of time spent on Insurance 2) Prepares Tax returns, compensated, spends about 25% of her time on tax related services 3) Care Access. not investment related. Aurora, Co. Medical Clinical Trial. Start Date: May 2025. 3 hours per month outside of securities trading hours. 0 hours per month during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kelli Ann Wallace'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
July 21, 2014 - Present
FINANCIAL SECURITY MANAGEMENT, INC
Office #1: 2535 S Lewis Way Suite 201, Lakewood, CO 80227-6551RIA
CRD#: 116570
Lakewood, CO
Past
April 23, 2014 - November 7, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LAKEWOOD, CO
Past
February 4, 1994 - April 9, 1999
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FS
FINANCIAL SECURITY MANAGEMENT, INC
FINANCIAL SECURITY MANAGEMENT, INC
CRD#: 116570 / SEC#: 801-81072
RIA
Registered Investment Advisory firm - (3/16/2015 Approved)California
Registered Investment Advisory firm - (4/17/2015 Terminated)Colorado
Registered Investment Advisory firm - (4/2/2015 Terminated)Florida
Registered Investment Advisory firm - (3/18/2015 Terminated)Louisiana
Registered Investment Advisory firm - (3/18/2015 Terminated)Texas
Registered Investment Advisory firm - (3/18/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Colorado(7/21/2014)
IAR
Texas(10/30/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FS
FINANCIAL SECURITY MANAGEMENT, INC
FINANCIAL SECURITY MANAGEMENT, INC
CRD#: 116570 / SEC#: 801-81072
RIA
Registered Investment Advisory firm - (3/16/2015 Approved)California
Registered Investment Advisory firm - (4/17/2015 Terminated)Colorado
Registered Investment Advisory firm - (4/2/2015 Terminated)Florida
Registered Investment Advisory firm - (3/18/2015 Terminated)Louisiana
Registered Investment Advisory firm - (3/18/2015 Terminated)Texas
Registered Investment Advisory firm - (3/18/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2535 S Lewis Way Suite 201, Lakewood, CO 80227-6551
Mailing Address
Phone number
(303) 988-1411
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,578 |
| AUM (Assets Under Management) | $ 556,022,719 |
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.
