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KELLY NICOLE SAIN PEKLO
KELLY NICOLE SAIN
CRD#: 5160911
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 200 S. 108 Ave
Omaha, NE 68154
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2021 (12 years)2 FIRMS2021 - Present (4 years)IAAMERIVEST INVESTMENT MANAGEMEN... (CRD# 111514)2008 - 2010 (2 years)
License(s)

State Registrations

B
Nebraska 1/25/2021

IA
Nebraska 1/25/2021

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
200 S. 108 Ave, Omaha, NE 68154
Registered with this firm since 1/25/2021

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
200 S. 108 Ave, Omaha, NE 68154
Registered with this firm since 1/22/2021

Previous Registration(s)
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IA
10/24/2008 - 01/29/2021 TD AMERITRADE, INC. (CRD#:7870) OMAHA, NE
B
03/18/2008 - 01/29/2021 TD AMERITRADE, INC. (CRD#:7870) OMAHA, NE
IA
10/24/2008 - 12/31/2010 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) OMAHA, NE
IA
05/23/2007 - 01/09/2008 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) OMAHA, NE
B
05/17/2007 - 01/09/2008 SECURITIES AMERICA, INC. (CRD#:10205) OMAHA, NE
IA
08/22/2006 - 05/23/2007 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) OMAHA, NE
B
07/14/2006 - 05/23/2007 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) OMAHA, NE
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B
Broker
IA
Investment Adviser
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.