Kelly A. Smith
Professional summary
Kelly A Smith, who also goes by Kelly A Deneen, Kelly Anne Deneen, Kelly A Smith, Kelly Anne Deneen Smith, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas and NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 2001. Kelly has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kelly A Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262September 10, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262March 27, 2023 - February 26, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 27, 2021 - October 14, 2022
TD AMERITRADE, INC.
July 27, 2021 - December 16, 2022
TD AMERITRADE, INC.
April 15, 2008 - December 16, 2022
CHARLES SCHWAB & CO., INC.
November 2, 2005 - December 31, 2005
CHARLES SCHWAB & CO., INC.
October 20, 2005 - December 16, 2022
CHARLES SCHWAB & CO., INC.
July 19, 2004 - October 10, 2005
TD AMERITRADE, INC.
March 24, 2004 - October 10, 2005
TD AMERITRADE, INC.
March 22, 2001 - July 16, 2002
CHARLES SCHWAB & CO., 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
(12/4/2024)
(12/4/2024)
(1/31/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(3/15/2023)
(3/14/2023)
(3/14/2023)
(3/14/2023)
(1/31/2023)
(3/14/2023)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
