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Kelly M Klein
KELLY MARIE KLEIN, KELLY KLEIN
CRD#: 6300971
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716
ST. PETERSBURG, FL 33716
0
Disclosures
6
Years of Experience
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State Registrations
B
Florida 11/13/2023
IA
Florida 11/13/2023
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 11/13/2023
B
Registered with this firm since 11/9/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/22/2022 - 04/25/2023 | St. Petersburg, FL | |
IA | 10/11/2018 - 09/22/2022 | CLEARWATER, FL | |
B | 12/22/2017 - 09/21/2022 | CLEARWATER, FL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.