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KJ

Kelly C. Jones

VALDES & MORENO
Parkville, MO 64152
Some features on this profile are disabled
CRD#: 5540666
KJ

Professional summary

Kelly Clayton Jones is a registered financial professional currently at VALDES & MORENO, INC. located in Parkville, Missouri.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 2008. Kelly has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 62, Series 52 and Series 27 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 Clayton Jones'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

July 28, 2008 - Present

VALDES & MORENO, INC.

Office #1: 819 Main Street Room 304, Parkville, MO 64152
BD
CRD#: 37560
Parkville, MO
Past

July 28, 2008 - May 30, 2016

NEIGHBORLY SECURITIES

BD
CRD#: 17686
SAN FRANCISCO, CA

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
Kansas
(2/1/2013)
RR
Missouri
(2/1/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 11/23/2010
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 7/25/2008
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/23/2012
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

V&
VALDES & MORENO, INC.
VALDES & MORENO, INC.

CRD#: 37560 / SEC#: , 8-47810

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

Main Address
819 Main Street Room 304, Parkville, MO 64152
Mailing Address
819 Main Street Room 304, Parkville, MO 64152
Phone number
(816) 221-6700
Established
Missouri since 07/13/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 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#
LISTROM, MARCO REIDPRESIDENT & CHIEF COMPLIANCE OFFICER310764

Disclosures

Regulatory Event2
Arbitration2

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

VALDES & MORENO, INC.

CRD#: 37560Parkville, MO 64152

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