Kelly D. Mckinney
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 Dean Mckinney, who also goes by Kelly Mckinney, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2006. Kelly had worked at 2 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2008 - September 18, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
August 21, 2006 - January 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
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
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
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.
