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KK

Kendra L. Kelly

AEL FINANCIAL SERVICES
League City, TX 77573
Some features on this profile are disabled
CRD#: 4267682
KK

Professional summary

Kendra Leigh Kelly, who also goes by Kendra Leigh Kelly, Kendra Kelly Warrick, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in League City, Texas.

Kendra is registered as a RR (Registered Representative) and started their career in finance in 2000. Kendra has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kendra Leigh Kelly | Kendra Kelly Warrick

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 Kendra Leigh Kelly'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

April 7, 2026 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 2525 South Shore Blvd., League City, TX 77573
BD
CRD#: 300285
League City, TX
Past

September 6, 2012 - January 27, 2026

ANICO FINANCIAL SERVICES, INC.

BD
CRD#: 158883
GALVESTON, TX
Past

April 22, 2008 - September 4, 2012

SECURITIES MANAGEMENT & RESEARCH, INC.

BD
CRD#: 759
CEDAR RAPIDS, IA
Past

April 24, 2007 - March 20, 2008

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
BIRMINGHAM, AL
Past

April 24, 2007 - March 20, 2008

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

November 17, 2005 - April 24, 2007

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 111757
BIRMINGHAM, AL
Past

May 16, 2001 - April 24, 2007

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

October 9, 2000 - April 25, 2001

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ

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
IAR
Series 66
Date: 11/16/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/15/2001
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 7
Date: 10/7/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AEL FINANCIAL SERVICES, LLC
AEL FINANCIAL SERVICES, LLC | LOCKTON CAPITAL, LLC | LOCKTON CAPITAL MARKETS | LOCKTON CAPITAL ADVISORS, LLC

CRD#: 300285 / SEC#: , 8-70298

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

Main Address
2101 Rexford Road Suite 310, Charlotte, NC 28211
Mailing Address
2101 Rexford Road Suite 310, Charlotte, NC 28211
Phone number
(515) 443-3527
Established
North Carolina since 07/13/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (37 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NC SECURITIES HOLDCO, LLCPARENT CO
ALBERTI, GREGORY MICHAELPRINCIPAL/VICE PRESIDENT5023476
BAILEY, ELIZABETH EILEENCOO/CCO4154255
HAYES, SUSAN ANNCFO/FINOP2856326

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

AEL FINANCIAL SERVICES, LLC

CRD#: 300285League City, TX 77573

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