Lea A. Nunley

DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD.

Tulsa, OK 74136-4106

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CRD#: 5293446

Professional summary

Lea Ann Nunley, who also goes by Lea Ann Kelley, is a registered financial advisor currently at DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD. located in Tulsa, Oklahoma.

Lea is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Lea has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lea Ann Kelley

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) - RIA

Click below to view Lea Ann Nunley'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®

None

Experience

Current

August 5, 2016 - Present

DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD.

Office #1: 6840 South Trenton Avenue, Tulsa, OK 74136-4106Office #2: 6840 South Trenton Ave., Tulsa, OK 74136

RIA

CRD#: 117509

Tulsa, OK

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oklahoma
(8/5/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/5/2016

Uniform Investment Adviser Law Examination

Current Firm

DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD.

DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD. | UTICA PHYSICIANS' ASSOCIATION, LTD. | UTICA PHYSICANS' ASSOCIATION, LTD. | UPAL | UNITED PROFESSIONALS ASSOCIATION, LTD.

CRD#: 117509 / SEC#:

Oklahoma

Registered Investment Advisory firm - (10/8/1997 Approved)

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Contact information

Main Address

6840 South Trenton Avenue, Tulsa, OK 74136-4106

Mailing Address

Phone number

(918) 747-5585

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 82,963,529

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Lea A. Nunley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lea Ann Nunley's CRS (Customer Relationship Summary).

Certified licenses

Experience

DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/2016

Current Firm

DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD.

TRUST BUT VERIFY

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