Kelly L. Klaiber
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 Lynn Klaiber, who also goes by Kelly Lynn Bailey, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1980. Kelly had worked at 18 firms and has passed the Series 65, Series 63, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2013 - December 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2009 - June 17, 2013
WRP INVESTMENTS, INC.
April 23, 2009 - December 31, 2009
WRP INVESTMENTS, INC.
April 10, 2007 - March 17, 2009
EQUITABLE ADVISORS, LLC
March 26, 2007 - March 17, 2009
EQUITABLE ADVISORS, LLC
June 9, 2005 - March 19, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
September 1, 2000 - March 19, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
November 30, 1998 - January 28, 1999
AMSOUTH INVESTMENT SERVICES, INC.
April 1, 1998 - September 1, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 9, 1995 - April 1, 1998
BARNETT INVESTMENTS, INC.
November 22, 1993 - February 17, 1995
DETWILER FENTON WEALTH MANAGEMENT INC
March 3, 1992 - October 27, 1993
OLD NAPLES SECURITIES, INC.
July 15, 1991 - January 30, 1992
INVESTACORP, INC.
May 23, 1990 - May 29, 1991
UBS FINANCIAL SERVICES INC.
April 17, 1989 - August 22, 1989
DOUGHERTY DAWKINS LLC
November 21, 1988 - March 6, 1989
A. WEBSTER DOUGHERTY & CO., INCORPORATED
March 20, 1984 - August 4, 1988
RAYMOND JAMES & ASSOCIATES, INC.
April 7, 1983 - March 22, 1984
RICHARDSON GREENSHIELDS SECURITIES INC.
November 5, 1982 - April 7, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 1982 - October 28, 1982
RICHARDSON GREENSHIELDS SECURITIES INC.
February 5, 1981 - January 19, 1982
ALLEN & COMPANY OF FLORIDA, LLC
July 28, 1980 - December 30, 1980
FORBES, WALSH, KELLY & CO., INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
