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KW

Kelly J. Weller

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CRD#: 4586837
KW

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 J Weller was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 2001. Kelly had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 26, 2012 - July 1, 2021

GREAT LAKES ADVISORS, LLC

RIA
CRD#: 110757
CHICAGO, IL
Past

September 26, 2012 - July 1, 2021

WINTRUST INVESTMENTS LLC

BD
CRD#: 875
CHICAGO, IL
Past

September 26, 2011 - September 12, 2012

PNC CAPITAL ADVISORS LLC

RIA
CRD#: 151829
CHICAGO, IL
Past

October 29, 2009 - September 7, 2012

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
CHICAGO, IL
Past

March 29, 2006 - October 2, 2009

NATCITY INVESTMENTS, INC.

RIA
CRD#: 17490
SPRINGFIELD, IL
Past

March 29, 2006 - October 2, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
SPRINGFIELD, IL
Past

June 30, 2004 - April 11, 2005

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

April 26, 2004 - July 1, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

November 29, 2001 - April 11, 2005

JPMORGAN ASSET MANAGEMENT

RIA
CRD#: 107247
SPRINGFIELD, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GREAT LAKES ADVISORS, LLC
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC

CRD#: 110757 / SEC#: 801-16937

RIA
Registered Investment Advisory firm - (3/24/1982 Approved)

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: 4/30/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/27/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/7/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/2004
General Securities Representative Examination

Current Firm

GREAT LAKES ADVISORS, LLC
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC

CRD#: 110757 / SEC#: 801-16937

RIA
Registered Investment Advisory firm - (3/24/1982 Approved)
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Contact information

Main Address
231 S. Lasalle Street 4th Floor, Chicago, IL 60604
Mailing Address
Po Box 750, Chicago, IL 60606-0750
Phone number
(312) 431-1700
Established
Firm type
Fiscal year end
# of Employees
86

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GLA ADV PART 2A (9/16/2025)

Regulatory assets under management

Total Number of Accounts3,771
AUM (Assets Under Management)$ 15,298,949,943

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

GREAT LAKES ADVISORS, LLC

GREAT LAKES ADVISORS, LLC

CRD#: 110757

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