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KW

Kelly A. Wagner

LIFEMARK SECURITIES
Lockport, IL
Some features on this profile are disabled
CRD#: 5306653
KW

Professional summary

Kelly Ann Wagner, who also goes by Kelly Ann Adelmann, is a registered financial professional currently at LIFEMARK SECURITIES CORP. located in Lockport, Illinois.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 2008. Kelly has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelly Ann Adelmann

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 Ann Wagner'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 6, 2018 - Present

LIFEMARK SECURITIES CORP.

RIA
BD
CRD#: 16204
Lockport, IL
Past

November 26, 2013 - November 5, 2018

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

February 1, 2013 - November 8, 2013

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
LOCKPORT, IL
Past

March 21, 2011 - February 20, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
TINLEY PARK, IL
Past

January 4, 2010 - March 25, 2011

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CHICAGO, IL
Past

September 12, 2008 - June 12, 2009

COUNTRY CAPITAL MANAGEMENT COMPANY

BD
CRD#: 12060
OAK FOREST, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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
(1/14/2022)
RR
Illinois
(11/6/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88

SEC notice filing (46 States and Territories)

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

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
KALINOWSKI, ANDREW JOSEPHVP / BOARD MEMBER/SECRETARY263409
MICCICHE, VINCENT JRTREASURER/ FINOP/PFO/POO702149
PRISCO, JAMES JOSEPHCHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER2653402
PRISCO, JAMES JOSEPHPRESIDENT / BOARD MEMBER2653402
GEORGIEV, ALEXANDRE JR.CCO OF THE RIA / DIRECTOR OF OPERATIONS5307830

Regulatory assets under management

Total Number of Accounts2,021
AUM (Assets Under Management)$ 461,475,636

Disclosures

Regulatory Event2
Arbitration3

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

LIFEMARK SECURITIES CORP.

CRD#: 16204Lockport, IL

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