Kelli M. Bowles
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 Mason Bowles, CFP®, who also goes by Kelli Mason Bowles, Kelli Bowles, Kelli Mason Ellis, Kelli Ellis, Kelli Frink, Kelli P Mason, Kelli Mason, was a registered financial professional .
Kelli is a previously registered financial professional and started their career in finance in 1993. Kelli had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
May 16, 2018 - July 3, 2026
ROBERT W. BAIRD & CO. INCORPORATED
May 16, 2018 - July 3, 2026
ROBERT W. BAIRD & CO. INCORPORATED
November 7, 2017 - May 14, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 11, 2017 - May 14, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 11, 2010 - February 27, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 22, 2010 - February 27, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 24, 2008 - January 28, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 2005 - January 28, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2000 - June 17, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2000 - June 17, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1997 - May 22, 2000
UBS FINANCIAL SERVICES INC.
August 1, 1996 - April 3, 1997
DEUTSCHE BANK SECURITIES INC.
October 11, 1994 - June 21, 1996
PRUDENTIAL EQUITY GROUP, LLC
January 24, 1994 - September 2, 1994
MORGAN STANLEY DW INC.
October 6, 1993 - November 26, 1993
KASHNER DAVIDSON SECURITIES CORPORATION
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
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
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2025 | ||
| 10/24/2024 | ||
| 11/15/2023 |
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.
