Carolyn E. Kelly

TEAM HEWINS

Redwood City, CA 94065

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CRD#: 5012748

Professional summary

Carolyn Elizabeth Kelly, CFP® is a registered financial advisor currently at TEAM HEWINS, LLC located in Redwood City, California.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Carolyn has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Carolyn Elizabeth Kelly's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

May 29, 2018 - Present

TEAM HEWINS, LLC

Office #1: 203 Redwood Shores Parkway Suite 550, Redwood City, CA 94065

RIA

CRD#: 291194

Redwood City, CA

Past

November 20, 2015 - May 15, 2018

WIPFLI INSURANCE SERVICES, LLC

CRD#: 171954

Redwood City, CA

Past

May 5, 2015 - June 1, 2018

WIPFLI FINANCIAL ADVISORS, LLC

RIA

CRD#: 109983

REDWOOD CITY, CA

Past

September 25, 2006 - December 16, 2013

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SAN FRANCISCO, CA

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".

TEAM HEWINS, LLC

HEWINS, LLC | TEAM HEWINS, LLC | POST HEWINS, LLC

CRD#: 291194 / SEC#: 801-112939

RIA

Registered Investment Advisory firm - (4/20/2018 Approved)

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

California
(5/29/2018)

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

Series 63

Date: 1/22/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/22/2006

General Securities Representative Examination

Current Firm

TEAM HEWINS, LLC

HEWINS, LLC | TEAM HEWINS, LLC | POST HEWINS, LLC

CRD#: 291194 / SEC#: 801-112939

RIA

Registered Investment Advisory firm - (4/20/2018 Approved)

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Contact information

Main Address

203 Redwood Shores Parkway Suite 550, Redwood City, CA 94065

Mailing Address

Phone number

(650) 620-3040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TEAM HEWINS FORM ADV PART 2A BROCHURE (2/26/2025)

Regulatory assets under management

Total Number of Accounts	2,030
AUM (Assets Under Management)	$ 3,433,219,636

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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Carolyn E. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Elizabeth Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

TEAM HEWINS, LLC

WIPFLI INSURANCE SERVICES, LLC

WIPFLI FINANCIAL ADVISORS, LLC

KESTRA INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

TEAM HEWINS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/2007

SIE

Date: 5/15/2018

Series 7

Date: 9/22/2006

Current Firm

TEAM HEWINS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TEAM HEWINS, LLC

TRUST BUT VERIFY

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