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KS

Kelsey L. Schrieber

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CRD#: 5712683
KS

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.

Kelsey Lynn Schrieber was a registered financial professional .

Kelsey is a previously registered financial professional and started their career in finance in 2009. Kelsey had worked at 3 firms and has passed the Series 66, SIE and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 7, 2013 - October 14, 2014

HARRIS ASSOCIATES SECURITIES L.P.

BD
CRD#: 6959
CHICAGO, IL
Past

November 17, 2010 - January 25, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

November 17, 2010 - January 25, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHICAGO, IL
Past

April 28, 2010 - November 9, 2010

B. C. ZIEGLER AND COMPANY

RIA
CRD#: 61
CHICAGO, IL
Past

December 8, 2009 - November 9, 2010

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/26/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2009
General Securities Representative Examination

Current Firm

HA
HARRIS ASSOCIATES SECURITIES L.P.
HARRIS ASSOCIATES SECURITIES L.P. | HARRIS ASSOCIATES, INC.

CRD#: 6959 / SEC#: , 8-19988

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

Main Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Mailing Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Phone number
(312) 646-3600
Established
Delaware since 12/12/1986
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HARRIS ASSOCIATES L.P.LIMITED PARTNER
HARRIS ASSOCIATES INC.GENERAL PARTNER
KELLER, CHRISTOPHER WOLFGANGPRESIDENT2865184
PIETRAS, MICHAELCHIEF COMPLIANCE OFFICER4278774
WEBER, ZACHARY DAVIDPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER5483343
WRIGHT, RANA JEWELCHIEF LEGAL AND ADMINISTRATIVE OFFICER6357277

Disclosures

Regulatory Event2

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

HARRIS ASSOCIATES SECURITIES L.P.

CRD#: 6959

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