James J. Kelley

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CRD#: 1182403

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.

James Joseph Kelley, who also goes by James Kelley, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Kelley

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 11, 2008 - April 25, 2022

HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026

RENSSELAER, NY

Past

October 3, 2006 - June 4, 2008

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

November 11, 1991 - July 28, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

SOMERSET, NJ

Past

November 11, 1991 - July 28, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SOMERSET, NJ

Past

October 17, 1983 - June 14, 1984

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

October 17, 1983 - June 14, 1984

EQUITABLE ADVISORS, LLC

CRD#: 6627

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEALTHCARE COMMUNITY SECURITIES CORP.

HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026 / SEC#: 801-67370, 8-46981

RIA

Registered Investment Advisory firm - SEC (1/5/2007 Approved)

New York

Registered Investment Advisory firm - SEC (3/25/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 2/19/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/8/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/2/2009

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HEALTHCARE COMMUNITY SECURITIES CORP.

HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026 / SEC#: 801-67370, 8-46981

RIA

Registered Investment Advisory firm - SEC (1/5/2007 Approved)

New York

Registered Investment Advisory firm - SEC (3/25/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

One Empire Drive, Rensselaer, NY 12144

Mailing Address

One Empire Drive, Rensselaer, NY 12144

Phone number

(518) 431-7600

Established

New York since 07/21/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (4 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HEALTHCARE COMMUNITY SECURITIES CORP ADV BROCHURE (3/20/2025)

Direct owners and executive officers

Name	Position	CRD#
GROUP INSURANCE AGENCY	PARENT CORPORATION
BORYSZAK, MARTIN W	BOARD OF DIRECTOR	7879632
BUCK, NOAH PATRICK	PRESIDENT	7071368
CUSACK, MICHELE L.	BOARD OF DIRECTOR	8030752
GELLER, MARK ELI	BOARD OF DIRECTOR	7880534
HAYES, MARY KATHERINE	CFO	6496056
LAROSE, JENNIFER	CHIEF COMPLIANCE OFFICER	3094139
MANZER, ANDREW RAYMOND	BOARD OF DIRECTOR	6852044
MCCOLLUM, CYNTHIA	BOARD OF DIRECTOR	7564445
RATNER, JOSHUA S	BOARD OF DIRECTOR	7880541
SCHILLER, JONATHAN DAVID	BOARD OF DIRECTOR	7880562
SMITH, JAMES	BOARD OF DIRECTOR	8030764
THOMAS, HUGH RICHARD	BOARD OF DIRECTOR	6852059
VERZI, DENNIS JAMES	BOARD OF DIRECTORS	6468921

Regulatory assets under management

Total Number of Accounts	110
AUM (Assets Under Management)	$ 4,551,889,453

Disclosures

Regulatory Event

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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James J. Kelley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HIMCO DISTRIBUTION SERVICES COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

HEALTHCARE COMMUNITY SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/19/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 11/8/1991

Series 26

Date: 10/2/2009

Current Firm

HEALTHCARE COMMUNITY SECURITIES CORP.

Contact information

SEC notice filing (4 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HEALTHCARE COMMUNITY SECURITIES CORP.

TRUST BUT VERIFY

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