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TODD CHARLES KELLY
CRD#: 2194101
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10400 NE 4TH ST
PBIG - BELLEVUE PRIVATE WEALTH
BELLEVUE, WA 98004
PBIG - BELLEVUE PRIVATE WEALTH
BELLEVUE, WA 98004
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Disclosures
28
Years of Experience
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State Registrations
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Alabama 11/7/2016
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New Jersey 3/19/2021
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Alaska 10/7/2016
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New York 12/3/2020
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Arizona 10/7/2016
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North Carolina 1/21/2020
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California 10/7/2016
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North Dakota 2/2/2021
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Colorado 10/7/2016
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Ohio 7/9/2024
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Delaware 12/12/2024
B
Oregon 10/7/2016
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District of Columbia 11/29/2016
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Pennsylvania 1/2/2019
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Florida 4/12/2021
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South Carolina 10/19/2021
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Hawaii 5/20/2024
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Texas 7/6/2022
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Idaho 10/7/2016
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Texas 7/7/2022
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Illinois 10/7/2016
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Utah 10/2/2019
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Maryland 2/23/2022
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Virginia 2/23/2022
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Massachusetts 10/7/2016
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Washington 10/7/2016
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Minnesota 10/7/2016
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Washington 10/7/2016
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Montana 9/24/2024
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Wisconsin 10/7/2016
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Nevada 1/3/2023
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Wyoming 1/24/2023
SRO Registrations
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Registered with this firm since 10/7/2016
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Registered with this firm since 10/7/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 10/21/2016 | BELLEVUE, WA | |
B | 06/01/2009 - 10/21/2016 | BELLEVUE, WA | |
IA | 02/14/1997 - 06/01/2009 | SEATTLE, WA | |
B | 01/01/1997 - 06/01/2009 | SEATTLE, WA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.