Kelley M. Matthews
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 Marie Matthews, who also goes by Kelley M Matthews, Kelley Marie Matthews, Kelley Matthews, Kelley Marie Snell, was a registered financial professional .
Kelley is a previously registered financial professional and started their career in finance in 1998. Kelley had worked at 6 firms and has passed the Series 66, 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
September 14, 2016 - January 9, 2023
TRUIST ADVISORY SERVICES, INC.
September 16, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
September 12, 2013 - January 9, 2023
TRUIST INVESTMENT SERVICES, INC.
May 16, 2013 - July 16, 2013
BBVA SECURITIES INC.
July 6, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 25, 2008 - June 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 23, 2008 - June 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 2, 2006 - May 23, 2008
TRUIST INVESTMENT SERVICES, INC.
March 13, 2002 - May 23, 2008
TRUIST INVESTMENT SERVICES, INC.
July 29, 1998 - December 7, 2001
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
