Kelly Hughes Kaufman

Current Employers

Employment History

• 06/2007 → 06/2017
  Avalon Wealth Advisory
  Indianapolis, IN
• 06/2017 → Present
  Charles Schwab & Co., Inc.
  Indianapolis, IN
• 06/2017 → 07/2020
  Schwab Private Client Investment Advisory, Inc.
  Indianapolis, IN
• 03/2021 → 03/2021
  Schwab Private Client Investment Advisory
  Indianapolis, IN
• 08/2021 → Present
  Charles Schwab Bank, Ssb
  Indianapolis, IN

Previous Registrations

• 2021-04-07 → 2021-06-14
  Schwab Wealth Advisory, Inc.
  Indianapolis, IN
• 2017-06-30 → 2020-07-06
  Schwab Wealth Advisory, Inc.
  Indianapolis, IN
• 2012-06-08 → 2017-06-28
  Avalon Wealth Advisory, Inc.
  Indianapolis, IN

Other Businesses

1) CFP Board Disciplinary and Ethics Committee (DEC)|Investment Related:No|1425 K Street NW #800;Washington ;DC;20005;USA|Financial Services|Disciplinary and Ethics Committee (DEC) Member|2023-03-01|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|Effective March 1, 2023, I was appointed to serve a three-year team on The DEC. TheCFP Board's Disciplinary and Ethics Commission (the "DEC"), which is composed of CFP® professionals and members of the public, has the authority to issue a final order that finds facts, determines whether a violation has occurred and, where appropriate, imposes discipline in the form of a sanction. 2) CFP Board - Disciplinary and Ethic Committee|Investment Related:No|1425 K Street NW #800;Washington;DC;20005;USA|Nonprofit Charitable Organizations|Chair|2025-01-01|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|As a member I am part of hearings for CFP professionals and certificants for whom CFP Board enforcement council has brought concern over their actions. The hearing panel makes a disciplinary recommendation and the DEC ultimately votes on the final decision. In addition, I will be Chair of the DEC which includes but is not limited to functions such as chairing the DEC meetings and being the connection point between CFP adjudication council and the DEC.

Exams

• S66 Uniform Combined State Law Examination
  2017-07-07
• S63 Uniform Securities Agent State Law Examination
  2005-01-17

Designations

Other Names

• Kelly M Hughes
• Kelly Marie Hughes