Kristen H. 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.
Kristen Hughes Kelly, who also goes by Kristen Marie Hughes, Kristen Hughes, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 1994. Kristen had worked at 5 firms and has passed the Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 10, Series 4, Series 9, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2010 - June 5, 2025
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
April 19, 2002 - May 22, 2008
UBS SECURITIES LLC
September 1, 2000 - January 29, 2002
PAX CLEARING CORPORATION
July 27, 1998 - September 1, 2000
PAX CLEARING COMPANY LIMITED PARTNERSHIP
May 3, 1994 - January 15, 1997
FIRST OPTIONS OF CHICAGO, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
CRD#: 41461 / SEC#: , 8-49443
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PWC US BUSINESS ADVISORY LLP | SHAREHOLDER | |
| BRIDEN, STEPHEN JAMES | ACTING CCO AND POO | 6162493 |
| CHOPOORIAN, RONALD HAIG | MEMBER OF BOARD OF MANAGERS | 7970815 |
| GILL, MAUREEN | MEMBER OF BOARD OF MANAGERS | 7313897 |
| NIEMEYER, MEL JOHN | MEMBER OF BOARD OF MANAGERS | |
| ROONEY, THOMAS M | MEMBER OF BOARD OF MANAGERS | 6931609 |
| SCHASCHWARY, MICHAEL JOSEPH | ACTING FINOP AND PFO | 6001279 |
| WOLFE, HOWARD DEGRAFF III | PRESIDENT | 3049913 |
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.
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