Kelley S. Park
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.
Kelley S Park, who also goes by Kelley Seung-hyun Park, Kelley Seunghyun Park, Seung-hyun Park, Seunghyun Park, Kelley Park, was a registered financial professional .
Kelley is a previously registered financial professional and started their career in finance in 1997. Kelley had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2021 - May 21, 2026
CHARLES SCHWAB & CO., INC.
August 31, 2021 - May 21, 2026
CHARLES SCHWAB & CO., INC.
June 14, 2017 - July 13, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2017 - July 13, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2010 - February 25, 2016
PRUCO SECURITIES, LLC.
June 24, 2010 - February 25, 2016
PRUCO SECURITIES, LLC.
November 3, 2009 - June 15, 2010
GB INVESTMENT SECURITIES, INC.
September 15, 2005 - October 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2005 - October 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 2002 - September 19, 2005
CITIGROUP GLOBAL MARKETS INC.
March 13, 2002 - September 19, 2005
CITIGROUP GLOBAL MARKETS INC.
November 17, 1997 - March 5, 2002
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
