Kelly M. Zigaitis
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 Moss Zigaitis, who also goes by Kelly Ann Moss, Kelly M Zigaitis, Kelly Zigaitis, Kelly Moss Zigaitis, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2007. Kelly had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2022 - May 2, 2024
ROBINHOOD FINANCIAL, LLC
September 24, 2020 - May 2, 2024
ROBINHOOD SECURITIES, LLC
October 3, 2019 - September 14, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 3, 2019 - September 14, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2018 - September 24, 2019
TD AMERITRADE, INC.
January 17, 2018 - September 24, 2019
TD AMERITRADE, INC.
March 20, 2014 - June 20, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 25, 2011 - October 4, 2018
SCOTTRADE, INC.
July 3, 2008 - August 11, 2011
SECURIAN FINANCIAL SERVICES, INC.
January 26, 2007 - August 11, 2011
SECURIAN FINANCIAL SERVICES, INC.
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
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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