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KL

Kelly E. Lane

THE LEADERS GROUP
Louisville, KY 40223
Some features on this profile are disabled
CRD#: 5180341
KL

Professional summary

Kelly Elizabeth Lane is a registered financial professional currently at THE LEADERS GROUP, INC. located in Louisville, Kentucky.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 2006. Kelly has worked at 4 firms and has passed the Series 66, SIE, Series 34, Series 3, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Kelly Elizabeth Lane'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®
None

Experience

Current

November 4, 2024 - Present

THE LEADERS GROUP, INC.

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223
BD
CRD#: 37157
Louisville, KY
Past

July 17, 2009 - August 13, 2024

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
PLANTATION, FL
Past

April 2, 2007 - August 15, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
FT. LAUDERDALE, FL
Past

April 2, 2007 - August 15, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
FT. LAUDERDALE, FL
Past

September 27, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
FT. LAUDERDALE, FL
Past

September 4, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
FT. LAUDERDALE, FL

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
Florida
(11/4/2024)
RR
Kentucky
(11/4/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/25/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 11/9/2010
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 9/22/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 9/29/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THE LEADERS GROUP, INC.
SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
475 Springfield Ave Suite 1, Summit, NJ 07901
Phone number
(303) 797-9080
Established
Delaware since 07/14/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
PETERS, ROBERT WILLIAMFINOP1704577
RILEY, ZORAH JANECHIEF COMPLIANCE OFFICER3015509
WICKERSHAM, SEAN DAVIDPRESIDENT4994630

Disclosures

Regulatory Event4

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.

Company Information

THE LEADERS GROUP, INC.

CRD#: 37157Louisville, KY 40223

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