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Kathleen Alaina Kelly

Investment Adviser Representative at MMA ASSET MANAGEMENT LLC

Greensboro, NCCRD #2642776Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
21 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Kathleen Alaina Kelly has worked in the securities industry since 1995. They are registered to provide investment advisory services in 21 U.S. states.

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 21 states
ArizonaCaliforniaColoradoFloridaGeorgiaIdahoIllinoisIowaLouisianaMarylandMichiganNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTennesseeTexasVermontVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 2/7/2005
Series 63
Uniform Securities Agent State Law Examination
Passed 8/2/1995
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 8/2/1995
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 9/9/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

MMA Asset Management LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MMA SECURITIES LLCCurrent
4/3/2023Greensboro, NC
MMA SECURITIES LLCCurrent
4/3/2023Greensboro, NC
MMA ASSET MANAGEMENT LLCCurrent
4/3/2023Greensboro, NC
LPL FINANCIAL LLC
5/13/20054/3/2023Greensboro, NC
PRINCOR FINANCIAL SERVICES CORPORATION
2/8/20055/16/2005Greensboro, NC

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kathleen Alaina Kelly has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Kathleen Alaina Kelly - Financial Advisor in Greensboro, NC | AdvisorFinder