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Kelly Ott

STONEX SECURITIES
Canton, GA 30115
Some features on this profile are disabled
CRD#: 2436445
KO

Professional summary

Kelly Ott is a registered financial professional currently at STONEX SECURITIES INC. located in Canton, Georgia.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 1994. Kelly has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kelly Ott's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 18, 2014 - Present

STONEX SECURITIES INC.

Office #1: 583 Roper Rd, Canton, GA 30115
BD
CRD#: 18456
Canton, GA
Past

June 23, 2003 - February 18, 2014

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
ATLANTA, GA
Past

June 23, 2003 - February 18, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
ATLANTA, GA
Past

February 25, 2003 - June 27, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ALPHARETTA, GA
Past

June 15, 2002 - June 27, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 21, 2000 - June 15, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

December 22, 1998 - June 29, 2000

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

November 10, 1995 - December 23, 1998

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

January 19, 1994 - November 17, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/18/2014)
RR
Florida
(7/2/2024)
RR
Georgia
(2/18/2014)
RR
Maryland
(2/17/2015)
RR
Massachusetts
(4/28/2020)
RR
Michigan
(4/1/2015)
RR
New Hampshire
(7/29/2015)
RR
North Carolina
(2/18/2014)
RR
South Carolina
(2/18/2014)
RR
West Virginia
(3/5/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/23/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/31/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/10/1994
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONEX SECURITIES INC.
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.

CRD#: 18456 / SEC#: , 8-36638

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Phone number
(800) 292-2411
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.100% OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
CARTER, JAY WILSONPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR2412541
DAVISON, STUART ANDREWDIRECTOR7824576
DUNAWAY, WILLIAM JOHNDIRECTOR6505923
HUGO, MARK ERICPOO2177412
LYON, CHARLES MARTINDIRECTOR4000852
MAURER, MARK LDIRECTOR4234406
MCAUSLAN, JAMES BUCHANANDIRECTOR7658964
PARKER, BRIAN LANECHIEF COMPLIANCE OFFICER, ROSFP4635848
PORZIO, JOSEPH JOHNCFO / PFO / FINOP1319702
RICHARDSON, MARCUS BRYANTCHIEF OPERATING OFFICER3037932
SMITH, PHILIP ANDREWDIRECTOR, CHAIRMAN OF THE BOARD4999097

Disclosures

Regulatory Event9
Arbitration4

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.

Company Information

STONEX SECURITIES INC.

CRD#: 18456Canton, GA 30115

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