Kelly J. Long
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 Jo Long, who also goes by Kelly Jo Graham, Kelly J Kelley, Kelly Jo Kelley, Kelly Jo Mcwatters, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2000. Kelly had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2018 - April 1, 2021
S.G. LONG & COMPANY
June 28, 2018 - April 5, 2021
S.G. LONG & COMPANY
June 1, 2015 - July 8, 2016
LPL FINANCIAL LLC
May 12, 2015 - July 8, 2016
LPL FINANCIAL LLC
August 18, 2009 - April 9, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 18, 2009 - April 9, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 20, 2007 - September 30, 2009
LPL FINANCIAL LLC
July 19, 2007 - September 30, 2009
LPL FINANCIAL LLC
September 7, 2005 - July 23, 2007
WELLS FARGO INVESTMENTS, LLC
September 6, 2005 - July 23, 2007
WELLS FARGO INVESTMENTS, LLC
October 16, 2002 - August 24, 2005
CITIGROUP GLOBAL MARKETS INC.
July 18, 2000 - August 24, 2005
CITIGROUP GLOBAL MARKETS 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
Current Firm
S.G. LONG & COMPANY
CRD#: 47511 / SEC#: , 8-51816
Contact information
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG LONG FINANCIAL SERVICES CORPORATION | HOLDING COMPANY | |
| SEIDENSCHWARZ, ROBERT GUY ISAAC | DIRECTOR | 1011121 |
| COOPER, DIRK NATHAN | DIRECTOR | |
| COSTA, BRUCE ANTHONY | DIRECTOR | 6348002 |
| FELIX, DARLA MARIE | CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER | 5874509 |
| KLEESE, MICHAEL F | DIRECTOR | |
| VINSO, JOSEPH DAVID | DIRECTOR | |
| WILLIAMS, SUSAN ELAINE | PRESIDENT/CEO | 2290587 |
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 35,331,635 |
Disclosures
| Regulatory Event | 2 |
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.
