Eleanor K. Calvert
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.
Eleanor Kendall Calvert, who also goes by Eleanor Kendall Brent, Kendall Brent, Eleanor K Calvert, Eleanor Calvert, Kendall Calvert, Eleanor Kendall Ferebee, Kendall Ferebee, was a registered financial professional .
Eleanor is a previously registered financial professional and started their career in finance in 2008. Eleanor had worked at 14 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2025 - December 12, 2025
OSAIC INSTITUTIONS, INC.
August 25, 2025 - December 12, 2025
OSAIC INSTITUTIONS, INC.
September 23, 2021 - November 17, 2022
WELLS FARGO CLEARING SERVICES, LLC
September 23, 2021 - November 17, 2022
WELLS FARGO CLEARING SERVICES, LLC
June 23, 2019 - July 2, 2020
CETERA INVESTMENT ADVISERS LLC
June 23, 2019 - July 2, 2020
CETERA INVESTMENT SERVICES LLC
October 3, 2018 - June 11, 2019
CUNA BROKERAGE SERVICES, INC.
October 3, 2018 - June 11, 2019
CUNA BROKERAGE SERVICES, INC.
June 11, 2015 - November 30, 2017
TRANSAMERICA RETIREMENT ADVISORS, LLC
June 11, 2015 - November 30, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
August 7, 2013 - June 4, 2015
WADDELL & REED
August 7, 2013 - June 4, 2015
WADDELL & REED
January 24, 2013 - August 5, 2013
MML INVESTORS SERVICES, LLC
October 14, 2011 - January 15, 2013
NYLIFE SECURITIES LLC
November 17, 2010 - September 13, 2011
BB&T INVESTMENT SERVICES, INC.
November 17, 2010 - September 13, 2011
BB&T INVESTMENT SERVICES, INC.
January 6, 2010 - December 8, 2010
MSI FINANCIAL SERVICES, INC.
October 5, 2009 - December 8, 2010
MSI FINANCIAL SERVICES, INC.
October 28, 2008 - October 22, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
October 28, 2008 - October 22, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
March 19, 2008 - September 13, 2008
EDWARD JONES
February 25, 2008 - September 13, 2008
EDWARD JONES
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 9 |
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.
