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KW

Kelsey Woods

WEALTHFRONT BROKERAGE LLC
Palo Alto, CA 94301
Some features on this profile are disabled
CRD#: 7137809
KW

Professional summary

Kelsey Woods, who also goes by Kelsey Elizabeth Woods, is a registered financial professional currently at WEALTHFRONT BROKERAGE LLC located in Palo Alto, California.

Kelsey is registered as a RR (Registered Representative) and started their career in finance in 2020. Kelsey has worked at 3 firms and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelsey Elizabeth Woods

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 Kelsey Woods'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®
None

Experience

Current

November 4, 2021 - Present

WEALTHFRONT BROKERAGE LLC

Office #1: 261 Hamilton Ave, Palo Alto, CA 94301
BD
CRD#: 153407
Palo Alto, CA
Past

January 4, 2021 - April 30, 2021

APW CAPITAL, INC.

BD
CRD#: 43814
BEDFORD, NH
Past

August 26, 2020 - December 18, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
CONCORD, NH

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 8/26/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/1/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WB
WEALTHFRONT BROKERAGE LLC
KACHING BROKERAGE CORPORATION | WEALTHFRONT BROKERAGE LLC | WEALTHFRONT BROKERAGE CORPORATION

CRD#: 153407 / SEC#: , 8-68534

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

Main Address
261 Hamilton Ave, Palo Alto, CA 94301
Mailing Address
261 Hamilton Ave, Palo Alto, CA 94301
Phone number
(844) 995-8437
Established
Delaware since 08/01/2018
Firm type
Limited Liability Company
Fiscal year end
July
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEALTHFRONTOWNER
COFFEY, JAMIE ELISECEO4810449
IMBERMAN, ALAN DCFO5576870
MATTHEWS, JONATHAN FOSTERCCO6844950
MCKEE, AUSTIN DOUGLASCTO7328731
RUDNEVA, EVGENIYAFINOP6400931
RYDEN, MARKCHIEF OPERATING OFFICER6955195

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

WEALTHFRONT BROKERAGE LLC

CRD#: 153407Palo Alto, CA 94301

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