Kelly O. Schmalhausen
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 Owen Schmalhausen was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1993. Kelly had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24, Series 4 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 15, 2024 - October 21, 2025
DIVERSIFY WEALTH MANAGEMENT, LLC
January 3, 2024 - July 12, 2024
DFPG INVESTMENTS, LLC
January 3, 2024 - October 21, 2025
DIVERSIFY ADVISORY SERVICES, LLC
November 28, 2023 - October 21, 2025
DFPG INVESTMENTS, LLC
October 12, 2016 - March 2, 2021
BOK FINANCIAL SECURITIES, INC.
June 6, 2013 - June 12, 2014
TRI-STAR FINANCIAL
June 8, 2011 - April 17, 2012
CITY NATIONAL SECURITIES, INC.
June 19, 2007 - May 12, 2009
ZIONS CAPITAL ADVISORS, INC.
April 14, 2004 - December 14, 2010
AMEGY INVESTMENTS, INC.
November 13, 2002 - December 14, 2010
AMEGY INVESTMENTS, INC.
November 4, 2002 - March 3, 2003
FISERV INVESTOR SERVICES, INC.
April 1, 2001 - July 30, 2001
WAMU INVESTMENTS, INC.
January 3, 1995 - April 1, 2001
BANK UNITED SECURITIES CORP.
May 4, 1994 - December 31, 1994
TOUCHSTONE SECURITIES, INC.
April 28, 1993 - August 9, 1993
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
DIVERSIFY WEALTH MANAGEMENT, LLC
CRD#: 329878 / SEC#: 801-129521
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 7TO
Date: 11/28/2023
General Securities Representative ExaminationCurrent Firm
DIVERSIFY WEALTH MANAGEMENT, LLC
CRD#: 329878 / SEC#: 801-129521
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,760 |
| AUM (Assets Under Management) | $ 2,526,799,821 |
Red Flags
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