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Kelly Ann Waring

LPl Financial LLC

Prescott, AZ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-09-26
AZ RA APPROVED 2016-02-09
  • TX RA
    APPROVED
    Since 2016-09-26
  • AZ RA
    APPROVED
    Since 2016-02-09

Branch Locations

183 Morning Glow Way, Prescott, AZ 86303-6707 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Prescott AZ 03/1996 Present
  • 03/1996 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Prescott, AZ
Previous Registrations
  • 2003-03-28 → 2006-12-31
    W & H And Associates, Llc
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-09
S63 Uniform Securities Agent State Law Examination 1983-10-19
  • S65 Uniform Investment Adviser Law Examination
    1999-03-09
  • S63 Uniform Securities Agent State Law Examination
    1983-10-19
Designations
Other Names
  • Kelly Biewener
  • Kelly Ann Helfinstine

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · PRESCOTT, AZ
AMERIPRISE FINANCIAL SERVICES, LLC · Prescott, AZ
WRIGHT WEALTH MANAGEMENT GROUP · PRESCOTT, AZ
THE MONEY AND VALUES GROUP · PRESCOTT, AZ
LPL FINANCIAL LLC · PRESCOTT, AZ
PURE FINANCIAL ADVISORS, LLC · Prescott, AZ
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Prescott, AZ
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