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Detailed Report
KELLY WAITE
KELLY SMULDERS, KELLY LYNN WAITE
CRD#: 2920663
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6005 PLUMAS ST STE 200
RENO, NV 89519
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2008 (5 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2020 - Present (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (4 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2003 - 2003 (<1 year)
License(s)

State Registrations

B
California 11/16/2020
IA
Nevada 9/16/2020
B
Nevada 9/16/2020

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
6005 PLUMAS ST STE 200, RENO, NV 89519
RENO, NV
Registered with this firm since 9/16/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6005 PLUMAS ST STE 200, RENO, NV 89519
RENO, NV
Registered with this firm since 8/18/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/15/2010 - 07/18/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAYNE, PA
B
 12/21/2010 - 07/18/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAYNE, PA
IA
 06/01/2009 - 10/15/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) PHILADELPHIA, PA
B
 06/01/2009 - 10/15/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PHILADELPHIA, PA
IA
 07/14/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PHILADELPHIA, PA
B
 07/14/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PHILADELPHIA, PA
IA
 07/01/2003 - 07/10/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) PHILADELPHIA, PA
B
 07/01/2003 - 07/10/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) PHILADELPHIA, PA
IA
 06/20/2003 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) RENO, NV
B
 12/02/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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.