Kelly Schroeder
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 Schroeder, who also goes by Kelly M Anderson, Kelly Anderson, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2008. Kelly had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
November 29, 2023 - August 14, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 29, 2023 - August 14, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 13, 2018 - November 17, 2023
PRIVATE CLIENT SERVICES, LLC
September 13, 2018 - November 17, 2023
PRIVATE CLIENT SERVICES, LLC
April 20, 2018 - October 3, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 20, 2018 - October 3, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 27, 2018 - April 17, 2018
RBC CAPITAL MARKETS, LLC
March 27, 2018 - April 17, 2018
RBC CAPITAL MARKETS, LLC
October 27, 2015 - March 19, 2018
SII INVESTMENTS, INC.
October 22, 2015 - March 19, 2018
SII INVESTMENTS, INC.
October 28, 2013 - October 21, 2015
NATIONAL PLANNING CORPORATION
October 28, 2013 - October 22, 2015
SII INVESTMENTS, INC.
October 28, 2013 - March 19, 2018
INVESTMENT CENTERS OF AMERICA, INC.
October 28, 2013 - October 22, 2015
SII INVESTMENTS, INC.
October 28, 2013 - October 22, 2015
NATIONAL PLANNING CORPORATION
October 28, 2013 - March 19, 2018
INVESTMENT CENTERS OF AMERICA, INC.
October 22, 2012 - October 17, 2013
EDWARD JONES
August 27, 2012 - October 17, 2013
EDWARD JONES
April 18, 2012 - August 31, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 8, 2011 - August 31, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 24, 2008 - December 16, 2009
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
