Kelly L. Davis
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 L Davis, CLU®, who also goes by Kelly Louise Davis, Kelly Mcgee Davis, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1995. Kelly had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 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 2, 2025 - February 18, 2026
EDWARD JONES
August 29, 2025 - February 18, 2026
EDWARD JONES
February 15, 2013 - July 7, 2025
ALLSTATE FINANCIAL ADVISORS, LLC
January 25, 2013 - July 7, 2025
ALLSTATE FINANCIAL SERVICES, LLC
May 17, 2012 - October 23, 2012
STATE FARM VP MANAGEMENT CORP.
October 6, 2011 - November 1, 2011
LEGEND EQUITIES CORPORATION
May 26, 2011 - September 20, 2011
CUSO FINANCIAL SERVICES, L.P.
May 9, 2011 - September 20, 2011
CUSO FINANCIAL SERVICES, L.P.
September 18, 2009 - May 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 14, 2009 - May 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - June 26, 2009
MORGAN STANLEY
June 1, 2009 - June 26, 2009
MORGAN STANLEY
May 16, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 25, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 5, 2006 - May 16, 2006
VOYA FINANCIAL PARTNERS, LLC
May 5, 2006 - May 16, 2006
VOYA FINANCIAL PARTNERS, LLC
October 14, 2005 - March 29, 2006
MSI FINANCIAL SERVICES, INC.
September 15, 2005 - March 29, 2006
METROPOLITAN LIFE INSURANCE COMPANY
September 15, 2005 - March 29, 2006
MSI FINANCIAL SERVICES, INC.
February 25, 2005 - August 22, 2005
STUART SECURITIES CORP.
August 12, 2004 - September 28, 2004
VALIC FINANCIAL ADVISORS, INC.
March 22, 2004 - September 28, 2004
VALIC FINANCIAL ADVISORS, INC.
December 1, 2003 - February 26, 2004
OSAIC WEALTH, INC.
February 27, 1997 - November 26, 2003
NATIONWIDE SECURITIES, LLC
July 1, 1996 - January 27, 1997
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 18, 1995 - July 1, 1996
NATIONWIDE SECURITIES, LLC
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 160 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
