Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Kentucky-based Fifth Third Securities broker/adviser Kelly McClain has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. McClain (CRD# 4549306).
Kelly McClain has spent 12 years in the securities industry and has been registered with Fifth Third Securities in Louisville, Kentucky since 2008. Previous registrations include BB&T Investment Services in Louisville, Kentucky (2006-2007); Chase Investment Services in Chicago, Illinois (2005); and Banc One Securities in Chicago, Illinois (2004-2005). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on October 21, 2005; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 14, 2004; Series 7 (General Securities Representative Examination), which she obtained on July 1, 2008; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on July 9, 2004. She is a registered broker and investment adviser with 18 US states and territories: Alabama, California, Colorado, Florida, Illinois, Indiana, Iowa, Kentucky, Massachusetts, Nevada, New Jersey, Ohio, Oregon, South Dakota, Tennessee, Virginia, Washington, and Wisconsin.
According to her BrokerCheck report, she has received two customer complaints.
In April 2017 a customer alleged Kelly McClain, while employed at Fifth Third Securities, did not properly understand the product she recommended. The complaint settled in July 2017 for more than $37,600.
In 2016 a customer alleged Kelly McClain, while employed at Fifth Third Securities, recommended an unnecessary investment re-allocation. The complaint settled in January 2017 for $10,000.
If you or someone you know has lost money investing with Kelly McClain, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.