Kelly A. Whelan
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 Ann Whelan, who also goes by Kelly Ann Wander, Kelly Ann Whelan, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2012. Kelly had worked at 3 firms and has passed the Series 63, 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
June 18, 2018 - December 12, 2023
SPIRE SECURITIES, LLC
February 19, 2015 - July 5, 2016
SPIRE SECURITIES, LLC
September 6, 2013 - January 26, 2015
LARSON FINANCIAL SECURITIES, LLC
May 16, 2012 - August 16, 2013
PIMCO INVESTMENTS LLC
State Registrations and Notice Filings
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Exams
Current Firm
SPIRE SECURITIES, LLC
CRD#: 144131 / SEC#: , 8-67635
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
