Amy M. Kelley
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.
Amy Marie Kelley, who also goes by Amy Marie Brown, Amy Brown, Amy Marie Hommas, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1993. Amy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2024 - May 7, 2026
WELLS FARGO SECURITIES, LLC
September 2, 2015 - August 29, 2019
WELLS FARGO SECURITIES, LLC
July 1, 2011 - November 13, 2014
STRUCTURED ASSET INVESTORS, LLC
June 1, 2011 - December 3, 2013
WELLS FARGO SECURITIES, LLC
August 20, 2009 - May 20, 2011
STONECREST CAPITAL MARKETS, INC.
June 9, 2006 - August 18, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 9, 2006 - August 18, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 30, 2004 - January 6, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 6, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 25, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 4, 1999 - April 20, 2001
ROBERTSON STEPHENS, INC.
December 5, 1997 - October 7, 1999
CHARLES SCHWAB & CO., INC.
April 6, 1993 - July 29, 1997
CREDIT SUISSE SECURITIES (USA) LLC
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 8
Date: 8/26/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil 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.
