Kelli L. Gabriel
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.
Kelli Lyn Gabriel, who also goes by Kelli Lyn Kauffman, was a registered financial professional .
Kelli is a previously registered financial professional and started their career in finance in 1993. Kelli had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2018 - October 10, 2025
MADISON AVENUE SECURITIES, LLC
August 30, 2018 - October 10, 2025
MADISON AVENUE SECURITIES, LLC
November 6, 2015 - September 28, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 6, 2015 - September 28, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 7, 2014 - November 10, 2015
SECURITIES AMERICA ADVISORS, INC.
November 7, 2014 - November 10, 2015
SECURITIES AMERICA, INC.
August 2, 2011 - November 19, 2014
MSI FINANCIAL SERVICES, INC.
August 1, 2011 - November 19, 2014
MSI FINANCIAL SERVICES, INC.
February 1, 2010 - July 28, 2011
SECURIAN FINANCIAL SERVICES, INC.
January 29, 2010 - July 28, 2011
SECURIAN FINANCIAL SERVICES, INC.
April 2, 2007 - June 3, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 3, 2009
MORGAN STANLEY & CO. LLC
January 19, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
January 19, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
January 24, 2000 - January 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2000 - January 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 1994 - February 2, 2000
MML INVESTORS SERVICES, LLC
June 7, 1993 - July 25, 1994
WS GRIFFITH SECURITIES, INC.
April 7, 1993 - June 7, 1993
VP DISTRIBUTORS LLC
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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 62
Date: 9/1/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
