Hugh M. Kelly
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.
Hugh Morris Kelly was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1983. Hugh had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 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
October 28, 2002 - May 30, 2019
HARBOR FUNDS DISTRIBUTORS, INC.
July 30, 1996 - December 31, 2001
NATIXIS DISTRIBUTION, LLC
February 26, 1996 - July 23, 1996
PROFUNDS DISTRIBUTORS, INC.
September 15, 1993 - February 15, 1996
NATIXIS DISTRIBUTION, LLC
January 1, 1992 - September 15, 1993
TNE INVESTMENT SERVICES CORPORATION
June 25, 1988 - October 25, 1991
AMERICAN FINANCE GROUP SECURITIES CORP.
February 18, 1988 - June 14, 1988
MORGAN STANLEY DW INC.
September 4, 1985 - March 8, 1988
CITIGROUP GLOBAL MARKETS INC.
June 22, 1983 - September 13, 1985
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HARBOR FUNDS DISTRIBUTORS, INC.
CRD#: 113506 / SEC#: , 8-53339
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
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.
