2023079789501 Kelln B. Small CRD 4370485 AWC gg (2024-1732753201452).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079789501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kelln B. Small (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 4370485
Pursuant to FINRA Rule 9216, Respondent Kelln B. Small submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.