KB
Kelli L. Beauregard
BLACKROCK INVESTMENTS
Seattle, WA 98101
Some features on this profile are disabled
CRD#: 4992422
KB
Professional summary
Kelli Lynne Beauregard, who also goes by Kelli Lynne Beauregard, Kelli Beauregard, Kelli Lynne Mcnamara, Kelli Mcnamara, is a registered financial professional currently at BLACKROCK INVESTMENTS, LLC located in Seattle, Washington.
Kelli is registered as a RR (Registered Representative) and started their career in finance in 2005. Kelli has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kelli Lynne Beauregard | Kelli Beauregard | Kelli Lynne Mcnamara | Kelli Mcnamara
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.
Name of Activity: Women's in Pension Network - WIPN; Date Activity Started/Modified/Ended: 8/12/2021; Type of Activity: Other - Industry group; Role/Relationship: Other - Co-chair of local chapter and Registered Agent; Responsibilities: Three-year term, can be renewed as needed (approved by Chapter Chairs), grow membership, manage relationships with chapter members, host a minimum of two events per year featuring career or personal development programming.; Income Per Year: NO INCOME; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No - ; --- END --- Name of Activity: Kirkland National Little League; Date Activity Started/Modified/Ended: 3/18/2022; Type of Activity: Field is Blank!; Role/Relationship: Other - Director; Responsibilities: Community outreach and fundraising for local little league. Work to solicit sponsorships, coordinate fundraisers, some social media management (Facebook, Instagram, Twitter).; Income Per Year: NO INCOME; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---
CRS (Client Relationship Summary) - BD
Click below to view Kelli Lynne Beauregard'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
September 20, 2022 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 601 Union Street 56th Floor, Seattle, WA, 98101BD
CRD#: 38642
Seattle, WA
Past
June 29, 2011 - June 27, 2022
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
KIRKLAND, WA
Past
February 11, 2011 - June 27, 2022
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
August 11, 2005 - February 24, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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
Alabama(9/21/2022)
RR
Alaska(9/26/2022)
RR
Arizona(9/29/2022)
RR
Arkansas(9/20/2022)
RR
California(9/21/2022)
RR
Colorado(9/21/2022)
RR
Connecticut(9/20/2022)
RR
Delaware(9/21/2022)
RR
District of Columbia(9/23/2022)
RR
Florida(9/21/2022)
RR
Georgia(9/22/2022)
RR
Hawaii(9/21/2022)
RR
Idaho(9/20/2022)
RR
Illinois(9/29/2022)
RR
Indiana(9/20/2022)
RR
Iowa(9/20/2022)
RR
Kansas(9/20/2022)
RR
Kentucky(9/22/2022)
RR
Louisiana(9/27/2022)
RR
Maine(9/20/2022)
RR
Maryland(9/20/2022)
RR
Massachusetts(9/20/2022)
RR
Michigan(9/22/2022)
RR
Minnesota(9/22/2022)
RR
Mississippi(9/23/2022)
RR
Missouri(9/20/2022)
RR
Montana(9/20/2022)
RR
Nebraska(9/20/2022)
RR
Nevada(10/6/2022)
RR
New Hampshire(9/28/2022)
RR
New Jersey(9/21/2022)
RR
New Mexico(9/21/2022)
RR
New York(9/22/2022)
RR
North Carolina(9/21/2022)
RR
North Dakota(9/26/2022)
RR
Ohio(9/20/2022)
RR
Oklahoma(9/21/2022)
RR
Oregon(10/21/2022)
RR
Pennsylvania(9/21/2022)
RR
Puerto Rico(9/27/2022)
RR
Rhode Island(9/27/2022)
RR
South Carolina(9/21/2022)
RR
South Dakota(10/19/2022)
RR
Tennessee(9/21/2022)
RR
Texas(9/21/2022)
RR
Utah(9/20/2022)
RR
Vermont(9/20/2022)
RR
Virgin Islands(9/27/2022)
RR
Virginia(9/20/2022)
RR
Washington(9/20/2022)
RR
West Virginia(9/22/2022)
RR
Wisconsin(9/20/2022)
RR
Wyoming(9/26/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BI
BLACKROCK INVESTMENTS, LLC
BFM ADVISORY, INC. | PROVIDENT ADVISORS, INC. | PROVIDENT ADVISERS, INC. | BLACKROCK INVESTMENTS, LLC | BLACKROCK INVESTMENTS, INC.
CRD#: 38642 / SEC#: , 8-48436
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
50 Hudson Yards, New York, NY 10001
Mailing Address
1 University Square Drive, Princeton, NJ 08540
Phone number
(609) 282-3046
Established
Delaware since 10/21/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
