Grace M. Kelly

SCHWAB WEALTH ADVISORY

Lone Tree, CO 80124

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CRD#: 6456173

Professional summary

Grace Marie Kelly, CFP®, who also goes by Grace M Kelly, Grace Marie Kelly, Grace Kelly, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Lone Tree, Colorado and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.

Grace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Grace has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Grace M Kelly | Grace Marie Kelly | Grace Kelly

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) - RIA

Click below to view Grace Marie Kelly'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

January 16, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 159035

Lone Tree, CO

Current

January 29, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 5393

Lone Tree, CO

Past

October 18, 2018 - January 3, 2025

FIRST OAK WEALTH MANAGEMENT, LLC

RIA

CRD#: 288316

Parker, CO

Past

September 28, 2018 - October 16, 2018

MORGAN STANLEY

RIA

CRD#: 149777

RALEIGH, NC

Past

September 28, 2018 - October 16, 2018

MORGAN STANLEY

CRD#: 149777

RALEIGH, NC

Past

June 18, 2015 - March 28, 2018

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

LITTLE ROCK, AR

Past

June 1, 2015 - March 28, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

LITTLE ROCK, AR

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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.

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

Arkansas
(8/8/2025)

California
(2/25/2025)

IAR

Colorado
(1/16/2025)

Colorado
(1/30/2025)

Idaho
(2/25/2025)

Michigan
(2/25/2025)

New Mexico
(2/25/2025)

Oregon
(3/8/2025)

Texas
(2/10/2025)

Utah
(9/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/8/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/18/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/29/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/12/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2015

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Grace M. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grace Marie Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

FIRST OAK WEALTH MANAGEMENT, LLC

MORGAN STANLEY

MORGAN STANLEY

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2025

Series 66

Date: 6/18/2015

Series 7TO

Date: 1/29/2025

SIE

Date: 6/12/2024

Series 7

Date: 6/1/2015

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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