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KP

Kelley A. Petrecki

P. A. N. SECURITIES, LP
Norwalk, CT 06850
Some features on this profile are disabled
CRD#: 4462878
KP

Professional summary

Kelley Arnone Petrecki, who also goes by Kelley Elizabeth Arnone, Kelley Elizabeth Arnone, Kelley Elizabeth Gilligan, Kelley Gilligan, Kelley Elizabeth Petrecki, Kelly Arnone Petrecki, is a registered financial professional currently at P. A. N. SECURITIES, LP located in Norwalk, Connecticut.

Kelley is registered as a RR (Registered Representative) and started their career in finance in 2001. Kelley has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelley Elizabeth Arnone | Kelley Elizabeth Arnone | Kelley Elizabeth Gilligan | Kelley Gilligan | Kelley Elizabeth Petrecki | Kelly Arnone Petrecki

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 Kelley Arnone Petrecki'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 25, 2022 - Present

P. A. N. SECURITIES, LP

Office #1: 45 Glover Avenue 7th Floor, Norwalk, CT, 06850
BD
CRD#: 104823
Norwalk, CT
Past

August 2, 2017 - May 5, 2022

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

September 4, 2012 - June 12, 2017

BTIG, LLC

BD
CRD#: 122225
PURCHASE, NY
Past

June 23, 2011 - August 30, 2012

WEEDEN & CO.L.P.

RIA
CRD#: 16835
GREENWICH, CT
Past

June 21, 2011 - August 30, 2012

WEEDEN & CO.L.P.

BD
CRD#: 16835
GREENWICH, CT
Past

June 1, 2009 - July 1, 2009

MORGAN STANLEY

RIA
CRD#: 149777
GREENWICH, CT
Past

June 1, 2009 - July 1, 2009

MORGAN STANLEY

BD
CRD#: 149777
GREENWICH, CT
Past

November 28, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
GREENWICH, CT
Past

November 28, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
GREENWICH, CT
Past

November 8, 2007 - December 8, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
STAMFORD, CT
Past

December 1, 2006 - December 8, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
STAMFORD, CT
Past

December 3, 2001 - December 14, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
Connecticut
(4/25/2022)
RR
New York
(4/25/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/12/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/24/2002
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: 12/1/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/11/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
P. A. N. SECURITIES, LP
P. A. N. SECURITIES, LP | RUMFOLO AND ASSOCIATES SECURITIES, LP | RUMFOLO AND ASSOCIATES SECURITIES, L.L.C. | P.A.N. SECURITIES, LP

CRD#: 104823 / SEC#: , 8-52964

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

Main Address
45 Glover Avenue 7th Floor, Norwalk, CT 06850
Mailing Address
45 Glover Avenue 7th Floor, Norwalk, CT 06850
Phone number
(203) 810-1813
Established
Texas since 08/06/2002
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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Documents

Direct owners and executive officers

NamePositionCRD#
PTS NET, LLCGENERAL PARTNER
PETRECKI, KELLEY ARNONECEO/CCO4462878
SPINDEL, HOWARDFINOP / CFO / POO / PFO708042

Disclosures

Regulatory Event1

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

P. A. N. SECURITIES, LP

CRD#: 104823Norwalk, CT 06850

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