Harold J. Kelley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harold Jordan Kelley JR, who also goes by Hal Kelley, Harold Jordan Kelley Jr., was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1982. Harold had worked at 6 firms and has passed the Series 63, Series 65, Series 62, Series 6, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2005 - November 13, 2009
PEAK SECURITIES CORPORATION
August 13, 2004 - August 17, 2005
VESTPOINT SECURITIES, INC.
March 9, 2004 - June 14, 2004
VESTPOINT SECURITIES, INC.
July 24, 2002 - March 22, 2004
NOWTRADE, CORP.
March 7, 2002 - September 25, 2002
PRINCIPAL SECURITIES, INC.
September 20, 1982 - May 14, 1986
KELLEY-ROESKE, INC.
August 20, 1982 - September 23, 1982
S. LEE PUCKETT, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 3/3/2005
Corporate Securities Limited Representative ExaminationCurrent Firm
PEAK SECURITIES CORPORATION
CRD#: 107907 / SEC#: , 8-53066
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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