Kelly C. Winn
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 Colyer Winn, who also goes by Kelly Colyer Winn, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1999. Kelly had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2020 - April 21, 2021
COLORADO FINANCIAL SERVICE CORPORATION
May 26, 2017 - September 26, 2018
CUNA BROKERAGE SERVICES, INC.
April 13, 2017 - April 24, 2017
FORESIDE FUND SERVICES, LLC
April 10, 2015 - November 2, 2016
COREBRIDGE CAPITAL SERVICES, INC.
May 2, 2008 - April 13, 2015
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 5, 2007 - April 28, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 7, 2006 - February 16, 2007
GUARDIAN INVESTOR SERVICES LLC
June 16, 2005 - June 9, 2006
JOHN HANCOCK DISTRIBUTORS LLC
August 14, 1999 - July 22, 2004
AVANTAX INVESTMENT SERVICES, 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
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
