KV
Kelly Vives
ALLSPRING FUNDS DISTRIBUTOR
New York, NY 10017
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CRD#: 5177059
KV
Professional summary
Kelly Vives, who also goes by Kelly Elizabeth O'brien Ms., Kelly Obrien, Kelly Elizabeth VIves, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in New York, New York.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 2006. Kelly has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kelly Elizabeth O'brien Ms. | Kelly Obrien | Kelly Elizabeth Vives
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.
CRS (Client Relationship Summary) - BD
Click below to view Kelly Vives'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 15, 2020 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 330 Madison Avenue 35th Floor, New York, NY 10017BD
CRD#: 133366
New York, NY
Past
February 21, 2014 - October 22, 2019
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
STAMFORD, CT
Past
April 17, 2008 - February 24, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
September 26, 2006 - February 24, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(9/15/2020)
RR
Alaska(9/15/2020)
RR
Arizona(9/15/2020)
RR
Arkansas(9/15/2020)
RR
California(9/15/2020)
RR
Colorado(9/15/2020)
RR
Connecticut(9/15/2020)
RR
Delaware(9/15/2020)
RR
District of Columbia(9/15/2020)
RR
Florida(9/15/2020)
RR
Georgia(9/15/2020)
RR
Hawaii(9/15/2020)
RR
Idaho(9/15/2020)
RR
Illinois(9/15/2020)
RR
Indiana(9/15/2020)
RR
Iowa(9/15/2020)
RR
Kansas(9/15/2020)
RR
Kentucky(9/15/2020)
RR
Louisiana(9/15/2020)
RR
Maine(9/15/2020)
RR
Maryland(9/15/2020)
RR
Massachusetts(9/15/2020)
RR
Michigan(9/15/2020)
RR
Minnesota(9/15/2020)
RR
Mississippi(9/15/2020)
RR
Missouri(9/15/2020)
RR
Montana(9/15/2020)
RR
Nebraska(9/15/2020)
RR
Nevada(9/15/2020)
RR
New Hampshire(9/15/2020)
RR
New Jersey(9/15/2020)
RR
New Mexico(9/15/2020)
RR
New York(9/15/2020)
RR
North Carolina(9/15/2020)
RR
North Dakota(9/15/2020)
RR
Ohio(9/15/2020)
RR
Oklahoma(9/15/2020)
RR
Oregon(9/15/2020)
RR
Pennsylvania(9/15/2020)
RR
Puerto Rico(9/15/2020)
RR
Rhode Island(9/15/2020)
RR
South Carolina(9/15/2020)
RR
South Dakota(9/15/2020)
RR
Tennessee(9/15/2020)
RR
Texas(9/15/2020)
RR
Utah(9/15/2020)
RR
Vermont(9/15/2020)
RR
Virgin Islands(9/15/2020)
RR
Virginia(9/15/2020)
RR
Washington(9/15/2020)
RR
West Virginia(9/15/2020)
RR
Wisconsin(9/15/2020)
RR
Wyoming(9/15/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLSPRING FUNDS DISTRIBUTOR, LLC
ALLSPRING FUNDS DISTRIBUTOR, LLC | WELLS FARGO FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1415 Vantage Park Drive, Charlotte, NC 28203
Mailing Address
417 E Chicago Street, Milwaukee, WI 53052
Phone number
(888) 877-9275
Established
Delaware since 07/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 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.
