Kay M. Keller
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.
Kay Marie Keller, who also goes by Kay M Keller, Kay M. Keller, Kay M. Keller, Kay Marie Rosebrock, was a registered financial professional .
Kay is a previously registered financial professional and started their career in finance in 2003. Kay had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2015 - June 23, 2015
WADDELL & REED
May 8, 2015 - June 23, 2015
WADDELL & REED
June 26, 2014 - January 8, 2015
VALIC FINANCIAL ADVISORS, INC.
May 12, 2014 - January 8, 2015
VALIC FINANCIAL ADVISORS, INC.
January 28, 2014 - February 11, 2014
KEY INVESTMENT SERVICES LLC
December 10, 2013 - February 11, 2014
KEY INVESTMENT SERVICES LLC
September 1, 2009 - March 22, 2012
ALLSTATE FINANCIAL SERVICES, LLC
February 9, 2007 - April 29, 2009
EDWARD JONES
January 23, 2007 - April 29, 2009
EDWARD JONES
May 23, 2003 - April 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2003 - April 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 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.
