KH
Kelly B. Hammer
LPL ENTERPRISE
Apache Junction, AZ
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CRD#: 6057420
KH
Professional summary
Kelly Briana Hammer is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Apache Junction, Arizona.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Kelly has worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.) BARKING DOG CREATIVE ADVENTURES - OWNER - CONSULTING SERVICES - APACHE JUNCTION, AZ - SINCE 08/2022 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Briana Hammer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kelly Briana Hammer's 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®
NoneExperience
Current
October 24, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
Apache Junction, AZ
Current
October 13, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
Fort Mill, SC
Current
November 25, 2024 - Present
LPL FINANCIAL LLC
Office #1: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 6413
Fort Mill, SC
Past
April 4, 2024 - October 11, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
Apache Junction, AZ
Past
March 27, 2024 - October 11, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
March 25, 2020 - July 10, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
SCOTTSDALE, AZ
Past
March 20, 2020 - July 10, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
August 15, 2017 - March 25, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
August 15, 2017 - March 30, 2020
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OAKDALE, MN
Past
August 15, 2017 - March 30, 2020
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
August 15, 2017 - March 30, 2020
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
August 15, 2017 - March 30, 2020
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
August 8, 2017 - March 25, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 27, 2017 - March 30, 2020
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PHOENIX, AZ
Past
April 25, 2017 - March 30, 2020
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
October 29, 2015 - July 21, 2016
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
MESA, AZ
Past
May 6, 2015 - August 3, 2015
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
LAS VEGAS, NV
Past
March 23, 2015 - August 3, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LAS VEGAS, NV
Past
July 25, 2012 - March 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HENDERSON, NV
Past
June 25, 2012 - March 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HENDERSON, NV
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(10/15/2024)
IAR
Arizona(10/24/2024)
RR
South Carolina(10/16/2024)
IAR
South Carolina(10/25/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 3/27/2024
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
