KL
Kelly Lawrence
NOBLEBRIDGE WEALTH
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 4869911
KL
Professional summary
Kelly Lawrence, who also goes by Kelly L Lawrence, is a registered financial advisor currently at NOBLEBRIDGE WEALTH located in Charlotte, North Carolina.
Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kelly has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelly L Lawrence
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) Mastermind Alliance Realty, 2425 Barry St., Charlotte, NC 28205, Real Estate Agency, start date: 4/12/2022; Member / Co-investor'; I devote approximately 5-10% of my time per week. I own 16.666% of this business. (2) A licensed independent Insurance Agent. Provides insurance through the affiliate Insurance Agency - NobleBridge Wealth Insurance Advisors, LLC (NBWIA)
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Lawrence'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®
NoneExperience
Current
November 9, 2018 - Present
NOBLEBRIDGE WEALTH
Office #1: 615 S College St Floor 10, Charlotte, NC 28202RIA
CRD#: 146612
Charlotte, NC
Past
January 6, 2012 - November 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
January 6, 2012 - November 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
December 5, 2011 - December 16, 2011
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
September 9, 2011 - December 16, 2011
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHARLOTTE, NC
Past
June 4, 2009 - September 9, 2011
RCH SECURITIES
BD
CRD#: 146337
CHARLOTTE, NC
Past
August 29, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHARLOTTE, NC
Past
June 27, 2006 - July 24, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
March 16, 2006 - July 7, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
November 5, 2004 - February 27, 2006
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
NW
NOBLEBRIDGE WEALTH
19 ADVISOR | WEALTHPOINT INVESTMENT ADVISORS, LLC | NORTHERN VIRGINIA WEALTH MANAGEMENT | NOBLEBRIDGE WEALTH MANAGEMENT, LLC | NOBLEBRIDGE WEALTH & ASSET MANAGEMENT SERVICES | NOBLEBRIDGE WEALTH | LEGACY WEALTH SOLUTIONS | CROSS CREEK WEALTH MANAGEMENT ADVISORS | CROSS CREEK FINANCIAL | CROSS CREEK CAPITAL MANAGEMENT, LLC | CROSS CREEK ASSET MANAGEMENT
CRD#: 146612 / SEC#: 801-126246
RIA
Registered Investment Advisory firm - (7/29/2022 Approved)Connecticut
Registered Investment Advisory firm - (12/23/2021 Terminated)District of Columbia
Registered Investment Advisory firm - (8/2/2022 Terminated)Florida
Registered Investment Advisory firm - (8/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (8/24/2022 Terminated)Maryland
Registered Investment Advisory firm - (9/7/2022 Terminated)New Jersey
Registered Investment Advisory firm - (8/16/2022 Terminated)New York
Registered Investment Advisory firm - (8/2/2022 Terminated)North Carolina
Registered Investment Advisory firm - (8/2/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (8/2/2022 Terminated)South Carolina
Registered Investment Advisory firm - (8/2/2022 Terminated)Texas
Registered Investment Advisory firm - (8/2/2022 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2022 Terminated)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
North Carolina(11/9/2018)
IAR
South Carolina(3/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NW
NOBLEBRIDGE WEALTH
19 ADVISOR | WEALTHPOINT INVESTMENT ADVISORS, LLC | NORTHERN VIRGINIA WEALTH MANAGEMENT | NOBLEBRIDGE WEALTH MANAGEMENT, LLC | NOBLEBRIDGE WEALTH & ASSET MANAGEMENT SERVICES | NOBLEBRIDGE WEALTH | LEGACY WEALTH SOLUTIONS | CROSS CREEK WEALTH MANAGEMENT ADVISORS | CROSS CREEK FINANCIAL | CROSS CREEK CAPITAL MANAGEMENT, LLC | CROSS CREEK ASSET MANAGEMENT
CRD#: 146612 / SEC#: 801-126246
RIA
Registered Investment Advisory firm - (7/29/2022 Approved)Connecticut
Registered Investment Advisory firm - (12/23/2021 Terminated)District of Columbia
Registered Investment Advisory firm - (8/2/2022 Terminated)Florida
Registered Investment Advisory firm - (8/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (8/24/2022 Terminated)Maryland
Registered Investment Advisory firm - (9/7/2022 Terminated)New Jersey
Registered Investment Advisory firm - (8/16/2022 Terminated)New York
Registered Investment Advisory firm - (8/2/2022 Terminated)North Carolina
Registered Investment Advisory firm - (8/2/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (8/2/2022 Terminated)South Carolina
Registered Investment Advisory firm - (8/2/2022 Terminated)Texas
Registered Investment Advisory firm - (8/2/2022 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
North Caldwell, NJ
Mailing Address
28 Valley Road, Montclair, NJ 07042
Phone number
+1 (866) 798-0354
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 705 |
| AUM (Assets Under Management) | $ 152,940,039 |
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.
