Kelly J. Marx
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 Jeanne Marx, who also goes by Kelly Jeanne Howard, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1997. Kelly had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 22TO, Series 6TO, Series 82TO, Series 52TO, Series 7TO, SIE, Series 31, Series 7, Series 39, Series 14, Series 26, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2019 - September 29, 2021
WELLS FARGO SECURITIES, LLC
January 10, 2014 - May 22, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 10, 2014 - May 22, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2011 - January 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2011 - January 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2001 - March 25, 2011
WELLS FARGO INVESTMENTS, LLC
April 10, 2000 - January 27, 2011
WELLS FARGO INVESTMENTS, LLC
March 3, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
April 16, 1997 - September 30, 1999
MORGAN STANLEY DW 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 10/11/2022
General Securities Representative ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
