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KELLY ANN STEFANOWICZ
CRD#: 6200013
IA
Investment Adviser
B
Broker
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 Philadelphia, PA
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 Philadelphia, PA
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2015 - 2020 (4 years)2 FIRMS2020 - 2023 (3 years)2 FIRMS2023 - Present (1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2013 - 2015 (2 years)
License(s)

State Registrations

B
Delaware 10/4/2023

B
Pennsylvania 10/4/2023

B
New Jersey 10/4/2023

IA
Pennsylvania 10/4/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261)
Philadelphia, PA
Registered with this firm since 10/4/2023

IA
PRINCIPAL ASSET MANAGEMENT (CRD#:109002)
Philadelphia, PA
Registered with this firm since 10/4/2023

Previous Registration(s)
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IA
06/25/2020 - 10/04/2023 MORGAN STANLEY (CRD#:149777) Philadelphia, PA
B
06/25/2020 - 10/04/2023 MORGAN STANLEY (CRD#:149777) Philadelphia, PA
IA
12/16/2015 - 06/08/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) PHILADELPHIA, PA
B
11/18/2015 - 06/08/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) PHILADELPHIA, PA
B
11/21/2013 - 12/01/2015 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
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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.