Kelly W. Henry
Professional summary
Kelly Wagner Henry, who also goes by Kelly Wagner Henry, Kelly Maureen Wagner, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in San Francisco, California and NATIONAL FINANCIAL SERVICES LLC located in San Francisco, California.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 2006. Kelly has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kelly Wagner Henry's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2019 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111November 26, 2024 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111June 3, 2016 - January 4, 2019
FORWARD MANAGEMENT, LLC
July 15, 2015 - January 7, 2019
ALPS DISTRIBUTORS, INC.
January 3, 2012 - March 25, 2014
BLACKROCK INVESTMENTS, LLC
November 6, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
September 16, 2008 - December 31, 2009
BLACKROCK EXECUTION SERVICES
April 7, 2006 - August 22, 2008
QUASAR DISTRIBUTORS, 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
(5/10/2019)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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