Kelly Stefanowicz is a CFP-designated registered investment advisor, based in Philadelphia, PA, with 12 years of industry experience.
Location
Philadelphia, PA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Kelly is an access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.
Employment History
Current Registrations
Principal Asset Management
October 2023 - Present · 2 yrs 9 mos
Principal Funds Distributor, INC.Broker
October 2023 - Present · 2 yrs 9 mos
Principal Funds Distributor, INC.
October 2023 - Present · 2 yrs 9 mos
Previous Registrations
Morgan StanleyBroker
June 2020 - October 2023 · 3 yrs 4 mos
Morgan Stanley
June 2020 - October 2023 · 3 yrs 4 mos
UBS Financial Services INC.
December 2015 - June 2020 · 4 yrs 6 mos
UBS Financial Services INC.Broker
November 2015 - June 2020 · 4 yrs 7 mos
Vanguard Marketing CorporationBroker
November 2013 - December 2015 · 2 yrs 1 mo
State Registrations4 states
DEMDNJPA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.