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MK

Mary M. Kelley

GLASFUNDS SECURITIES
CLEVELAND, OH 44114
Some features on this profile are disabled
CRD#: 6988131
MK

Professional summary

Mary Margaret Kelley, who also goes by Mary M Kelley, Mary Kelley, is a registered financial professional currently at GLASFUNDS SECURITIES, LLC located in Cleveland, Ohio.

Mary is registered as a RR (Registered Representative) and started their career in finance in 2018. Mary has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary M Kelley | Mary Kelley

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) - BD

Click below to view Mary Margaret Kelley'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®
None

Experience

Current

March 10, 2026 - Present

GLASFUNDS SECURITIES, LLC

Office #1: 600 Superior Ave. East, Suite 1510, Cleveland, OH 44114
BD
CRD#: 330074
CLEVELAND, OH
Past

July 27, 2021 - January 23, 2026

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PEPPER PIKE, OH
Past

October 24, 2019 - January 23, 2026

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PEPPER PIKE, OH
Past

August 20, 2018 - October 7, 2019

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
PARMA, OH

State Registrations and Notice Filings

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

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
Ohio
(3/11/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/29/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/28/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/23/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/20/2018
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GLASFUNDS SECURITIES, LLC
GLASFUNDS SECURITIES, LLC

CRD#: 330074 / SEC#: , 8-71237

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

Main Address
600 Superior Ave. East Suite 1510, Cleveland, OH 44114
Mailing Address
600 Superior Ave. East Suite 1510, Cleveland, OH 44114
Phone number
(216) 862-1300
Established
Delaware since 11/16/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GLASFUNDS HOLDINGS, LLCSOLE SHAREHOLDER
MARLIN, ROSS EVANCHIEF COMPLIANCE OFFICER6931826
OUDERKIRK, JAMES ERVINPRESIDENT6705992
ROCHE, PASCALFINOP, PFO, POO5920968

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

GLASFUNDS SECURITIES, LLC

CRD#: 330074Cleveland, OH 44114

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