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Detailed Report
KELLY JEAN WARNER
CRD#: 1393216
IA
Investment Adviser
B
Broker
NEWEDGE ADVISORSCRD#: 171351 42 N. Swinton Ave, Suite B
Delray Beach, FL 33444
NEWEDGE SECURITIES, LLCCRD#: 10674 42 N. SWINTON AVE
SUITE B
DELRAY BEACH, FL 33444
Registration History
1985199019952000200520102015202020252 FIRMS1989 - 1989 (<1 year)2 FIRMS2001 - 2007 (6 years)2 FIRMS2022 - Present (3 years)BOPPENHEIMER & CO. INC. (CRD# 249)2007 - 2022 (14 years)BMORGAN STANLEY DW INC. (CRD# 7556)1990 - 2001 (10 years)BGRAYSTONE NASH, INC. (CRD# 10635)1988 - 1989 (1 year)BCARILLON INVESTMENTS, INC. (CRD# 14646)1985 - 1987 (2 years)IAOPPENHEIMER & CO. INC. (CRD# 249)2016 - 2022 (5 years)
Disclosure(s)
View By:
6/11/2010
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 3/16/2022
B
Michigan 1/4/2023
B
Arizona 3/4/2022
B
New Jersey 3/4/2022
B
California 3/4/2022
B
New York 3/4/2022
B
Colorado 3/4/2022
B
Ohio 3/4/2022
B
Florida 3/4/2022
B
Pennsylvania 1/4/2023
IA
Florida 3/9/2022
B
Tennessee 3/4/2022
B
Georgia 3/4/2022
B
Texas 3/4/2022
B
Idaho 1/24/2023
IA
Texas 11/16/2023
B
Illinois 3/7/2022
B
Virginia 3/4/2022
B
Maryland 3/4/2022
B
Washington 3/4/2022
B
Massachusetts 3/6/2023

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NEWEDGE ADVISORS (CRD#:171351)
42 N. Swinton Ave, Suite B, Delray Beach, FL 33444
Registered with this firm since 3/9/2022
B
NEWEDGE SECURITIES, LLC (CRD#:10674)
42 N. SWINTON AVE SUITE B, DELRAY BEACH, FL 33444
Registered with this firm since 3/4/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/23/2016 - 03/11/2022 OPPENHEIMER & CO. INC. (CRD#:249) DELRAY BEACH, FL
B
 12/14/2007 - 03/11/2022 OPPENHEIMER & CO. INC. (CRD#:249) DELRAY BEACH, FL
IA
 07/31/2001 - 12/21/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOCA RATON, FL
B
 07/31/2001 - 12/21/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOCA RATON, FL
B
 10/24/1990 - 07/31/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 02/02/1989 - 05/24/1989 U.S. ADVISORS, INC. (CRD#:10721)
B
 01/06/1989 - 01/31/1989 HANIFEN, IMHOFF SECURITIES CORP. (CRD#:10620)
B
 01/20/1988 - 01/18/1989 GRAYSTONE NASH, INC. (CRD#:10635)
FINRA expelled the firm on 07/31/1996
B
 08/22/1985 - 10/07/1987 CARILLON INVESTMENTS, INC. (CRD#:14646)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.