Mortimore F. Kelly

MORT KELLY FINANCIAL SERVICES

New Orleans, LA

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CRD#: 1093428

Professional summary

Mortimore Francis Kelly III, who also goes by Mort Kelly, Mortimore Francis Kelly, is a registered financial advisor currently at MORT KELLY FINANCIAL SERVICES, LLC located in New Orleans, Louisiana.

Mortimore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Mortimore has worked at 7 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mort Kelly | Mortimore Francis Kelly

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Mort Kelly, CLU, RHU: owner of the business conducts personal sales and service of non-variable life and annuity products. Hours related approximately 2 hours per week during investment related hours. Start date: 08/01/1972. Address: 32 Yellowstone Drive, New Orleans, Louisiana 70131. New Orleans Association of Health Underwriters Position: Parliamentarian of the Association. No number of investment related hours. Address: P. O. Box 8765, Metairie, La. 70010. Description: I am invited to board and general membership meetings to ensure that the Officers and Board follow its By-Laws, Robert's Rules of Order, and State Law. I am a licensed parliamentarian who studied Robert's Rules of Order, corporate law, and State Law to ensure compliance with all of the above during the meetings. At this time, I am neither a board member, nor a general member of the Association. I hold no authority over the decisions made by the Board of Directors of the New Orleans Association of Health Underwriters.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mortimore Francis Kelly III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 31, 2012 - Present

MORT KELLY FINANCIAL SERVICES, LLC

RIA

CRD#: 164618

New Orleans, LA

Past

November 9, 2009 - November 7, 2012

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

NEW ORLEANS, LA

Past

November 9, 2009 - November 7, 2012

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

NEW ORLEANS, LA

Past

January 16, 2008 - November 3, 2009

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

NEW ORLEANS, LA

Past

December 1, 2006 - November 3, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

NEW ORLEANS, LA

Past

November 16, 2004 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

NEW ORLEANS, LA

Past

July 16, 2002 - September 22, 2004

NEW ENGLAND SECURITIES

RIA

CRD#: 615

NEW ORLEANS, LA

Past

September 26, 1992 - September 22, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 4, 1983 - September 16, 1992

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(10/31/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/20/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 9/20/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/3/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MORT KELLY FINANCIAL SERVICES, LLC

KELLY III, MORTIMORE FRANCIS | MORT KELLY FINANCIAL SERVICES, LLC | MORT KELLY FINANCIAL SERVICES

CRD#: 164618 / SEC#: 802-76874

Louisiana

Registered Investment Advisory firm - (10/31/2012 Approved)

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Contact information

Main Address

New Orleans, LA

Mailing Address

Phone number

(504) 394-9898

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 912,307

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	10/1/2013

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mortimore F. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mortimore Francis Kelly III's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/2012

Series 63

Date: 10/30/1991

Series 22

Date: 9/20/1984

Series 6

Date: 2/3/1983

Current Firm

MORT KELLY FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

MORT KELLY FINANCIAL SERVICES, LLC

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