Nancy L. Kelly
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.
Nancy Lynn Kelly, who also goes by Nancy Lynn Poterala, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1995. Nancy had worked at 4 firms and has passed the Series 63, Series 6TO, SIE 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
September 1, 2015 - December 3, 2020
ALPS DISTRIBUTORS, INC.
October 27, 2005 - August 31, 2015
QUASAR DISTRIBUTORS, LLC
March 14, 2001 - December 2, 2020
BRANDES INVESTMENT PARTNERS, LP
June 14, 1995 - November 18, 1997
DEAM INVESTOR SERVICES, INC.
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: 12/9/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
