Kelly L. Kazmierski

LEGACY FINANCIAL SERVICES GROUP

Saint Johns, FL

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CRD#: 4824852

Professional summary

Kelly Lynn Kazmierski, who also goes by Kelly Lynn Halloran, Kelly Lynn Rohe, is a registered financial advisor currently at LEGACY FINANCIAL SERVICES GROUP, INC. located in Saint Johns, Florida.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kelly has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelly Lynn Halloran | Kelly Lynn Rohe

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.

1. INVOLVEMENT AS AN INDEPENDENT INSURANCE AGENT SELLING FIXED ANNUITIES, LONG TERM CARE, WHOLE AND TERM LIFE INSURANCE / TRAVERSE CITY, MI / APPROVED OCTOBER 8, 2004

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Lynn Kazmierski'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

August 22, 2012 - Present

LEGACY FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 140514

Saint Johns, FL

Past

November 18, 2010 - March 28, 2012

LEGACY FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 140514

TRAVERSE CITY, MI

Past

August 31, 2004 - May 30, 2006

LPL FINANCIAL LLC

CRD#: 6413

TRAVERSE CITY, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(1/5/2024)

IAR

Michigan
(8/22/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/9/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/30/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEGACY FINANCIAL SERVICES GROUP, INC.

LEGACY FINANCIAL SERVICES GROUP, INC. | LEGACY FINANCIAL SERVICES GROUP, LLC

CRD#: 140514 / SEC#: 801-66694

RIA

Registered Investment Advisory firm - (8/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (1/5/2024 Approved)

Michigan

Registered Investment Advisory firm - (10/15/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

10691 East Carter Road Suite 101, Traverse City, MI 49684

Mailing Address

Phone number

(231) 933-0631

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	346
AUM (Assets Under Management)	$ 104,485,756

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.

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Kelly L. Kazmierski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Lynn Kazmierski's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY FINANCIAL SERVICES GROUP, INC.

LEGACY FINANCIAL SERVICES GROUP, INC.

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/2010

Series 63

Date: 9/27/2004

Series 6

Date: 8/30/2004

Current Firm

LEGACY FINANCIAL SERVICES GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEGACY FINANCIAL SERVICES GROUP, INC.

TRUST BUT VERIFY

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