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KA

Kelly J. Axtell

PINE DISTRIBUTORS
CHICAGO, IL 60602
Some features on this profile are disabled
CRD#: 4239652
KA

Professional summary

Kelly Jean Axtell, who also goes by Kelly Jean Haremza, is a registered financial professional currently at PINE DISTRIBUTORS LLC located in Chicago, Illinois.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 2002. Kelly has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelly Jean Haremza

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) - BD

Click below to view Kelly Jean Axtell's CRS (Customer Relationship Summary).

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

Current

March 3, 2025 - Present

PINE DISTRIBUTORS LLC

Office #1: 24 E Washington St Ste 875, Chicago, IL 60602
BD
CRD#: 323408
CHICAGO, IL
Past

September 22, 2022 - February 28, 2025

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Chicago, IL
Past

September 25, 2002 - June 7, 2022

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
MINNEAPOLIS, MN
Past

March 25, 2002 - June 7, 2022

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(3/3/2025)
RR
Illinois
(3/3/2025)
RR
Maryland
(3/3/2025)
RR
Minnesota
(3/3/2025)
RR
New Jersey
(3/3/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/23/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PINE DISTRIBUTORS LLC
PINE DISTRIBUTORS LLC

CRD#: 323408 / SEC#: , 8-71004

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
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Contact information

Main Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Mailing Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Phone number
(720) 651-8092
Established
Delaware since 08/30/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PINE ADVISOR SOLUTIONS LLCMEMBER
FAIRBANKS, MARK ALANPRESIDENT1847318
LEVESQUE, DARYNCOO6482085
MOSCARITOLO, SUSAN KALLAICCO2618909
WAGSTAFF, CONNER FRED IIIFINOP1427591
WOODCOCK, ALEXANDER JAMESPFO6454017

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

PINE DISTRIBUTORS LLC

CRD#: 323408Chicago, IL 60602

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