Kelly L. Luke
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 Lynn Luke, who also goes by Kelly L Luke, Kelly L Maiers, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2003. Kelly had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2014 - March 4, 2020
BNY ADVISORS
May 9, 2014 - March 6, 2026
PERSHING LLC
October 19, 2012 - March 28, 2014
MARKET STREET WEALTH MANAGEMENT
January 31, 2012 - February 27, 2014
USA FINANCIAL SECURITIES LLC
October 12, 2007 - December 8, 2011
CITIGROUP GLOBAL MARKETS INC.
October 6, 2003 - September 27, 2007
M&T SECURITIES, INC.
Primary Firm SEC Registration
BNY ADVISORS
CRD#: 106108 / SEC#: 801-52378
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
BNY ADVISORS
CRD#: 106108 / SEC#: 801-52378
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 122,578 |
| AUM (Assets Under Management) | $ 23,959,697,127 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
