Jenifer L. Kelley
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.
Jenifer Leslie Kelley, CPWA® was a registered financial professional .
Jenifer is a previously registered financial professional and started their career in finance in 1998. Jenifer had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2016-04-19
Expire date: 2024-03-31
Experience
December 10, 2015 - May 13, 2016
CREDIT SUISSE SECURITIES (USA) LLC
September 2, 2015 - May 13, 2016
CREDIT SUISSE SECURITIES (USA) LLC
July 24, 2002 - May 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2002 - May 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1998 - November 27, 2001
GOLDMAN SACHS & CO. LLC
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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
