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KS

Kelly E. Sickles

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CRD#: 4055819
KS

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 Elizabeth Keenan Sickles, who also goes by Kelly K Sickles, was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 2000. Kelly had worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelly K Sickles

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 12, 2018 - October 1, 2018

M&A SECURITIES GROUP, INC.

BD
CRD#: 39999
NEW YORK, NY
Past

July 15, 2005 - April 26, 2007

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

May 6, 2005 - July 15, 2005

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

February 5, 2003 - May 10, 2005

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

April 26, 2000 - February 7, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/9/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/1/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/2000
General Securities Representative Examination

Current Firm

MS
M&A SECURITIES GROUP, INC.
M&A SECURITIES GROUP, INC. | TOWER BROKERAGE SERVICES, INC.

CRD#: 39999 / SEC#: , 8-48926

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4151 N. Mulberry Drive Suite 252, Kansas City, MO 64116
Mailing Address
4151 N. Mulberry Drive Suite 252, Kansas City, MO 64116
Phone number
(816) 888-7920
Established
Kansas since 12/18/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PASTORINO, JESSICA BROOKPRESIDENT, CCO5230374
BURCH, JACOB RANDALOWNER6049983
BURCH, JENIFER LOUFINANCIAL AND OPERATIONS PRINCIPAL5796387

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.

Company Information

M&A SECURITIES GROUP, INC.

CRD#: 39999

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