Kelly A. Smith
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 Ann Smith, CFP®, who also goes by Kelly Ann Mcclintock, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1994. Kelly had worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 11 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
April 13, 2021 - January 24, 2024
CADARET, GRANT & CO., INC.
April 7, 2021 - January 24, 2024
CADARET, GRANT & CO., INC.
December 6, 2016 - April 13, 2021
SECURITIES AMERICA ADVISORS, INC.
February 25, 2013 - April 13, 2021
SECURITIES AMERICA, INC.
January 16, 2013 - February 26, 2013
CAPITAL ANALYSTS
January 4, 2013 - February 26, 2013
LINCOLN INVESTMENT
June 1, 2012 - February 26, 2013
LINCOLN INVESTMENT
April 23, 2010 - June 1, 2012
CINCINNATI ANALYSTS, INC.
April 10, 2007 - May 21, 2010
SANDERS MORRIS LLC
February 4, 2003 - November 22, 2004
OSAIC FA, INC.
January 22, 2003 - November 22, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 22, 2003 - November 22, 2004
OSAIC FA, INC.
October 26, 1999 - January 2, 2003
PRIM SECURITIES, INCORPORATED
September 7, 1994 - November 2, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 11
Date: 12/13/1995
Assistant Representative-Order Processing Qualification ExamCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
