Kelly A. Michel
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.
Kelly Ann Michel, AIF®, who also goes by Kelly Ann Escoto, Kelly Escoto, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1992. Kelly had worked at 6 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
March 7, 2016 - June 2, 2016
NEWPORT GROUP SECURITIES, INC.
November 5, 2014 - January 20, 2016
OSAIC WEALTH, INC.
February 1, 2003 - March 4, 2014
TRANSAMERICA INVESTORS SECURITIES, LLC
June 26, 1998 - February 1, 2003
TRANSAMERICA SECURITIES SALES CORPORATION
January 3, 1997 - May 26, 1998
ONE ORCHARD EQUITIES, INC.
December 9, 1992 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
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
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
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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