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Detailed Report
KELLY MICHELLE KLINGAMAN
KELLY MICHELLE SWERDON, KELLY SWERDON
CRD#: 5983833
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Investment Adviser
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Previous Broker
KELLY KLINGAMAN FINANCIAL PLANNING LLCCRD#: 306286 AUSTIN, TX
Registration History
20122014201620182020202220242026IAKELLY KLINGAMAN FINANCIAL PLAN... (CRD# 306286)2022 - Present (3 years)BDFA SECURITIES LLC (CRD# 10292)2011 - 2022 (10 years)IADIMENSIONAL FUND ADVISORS LP (CRD# 106482)2015 - 2022 (6 years)
License(s)

State Registrations

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Texas 1/28/2022
Current Registration(s)
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KELLY KLINGAMAN FINANCIAL PLANNING LLC (CRD#:306286)
AUSTIN, TX
Registered with this firm since 1/28/2022
Previous Registration(s)
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 03/18/2015 - 01/26/2022 DIMENSIONAL FUND ADVISORS LP (CRD#:106482) AUSTIN, TX
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 10/26/2011 - 01/26/2022 DFA SECURITIES LLC (CRD#:10292) AUSTIN, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.