Thomas P. 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.
Thomas Patrick Kelly, CFP® was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - December 11, 2017
AVANTAX ADVISORY SERVICES
December 23, 2016 - February 10, 2022
AVANTAX INVESTMENT SERVICES, INC.
July 25, 2011 - November 4, 2016
CETERA ADVISORS LLC
July 25, 2011 - November 4, 2016
CETERA ADVISORS LLC
December 4, 2009 - July 25, 2011
SECURITIES AMERICA, INC.
September 4, 2003 - March 20, 2008
HORNOR, TOWNSEND & KENT, LLC
July 9, 2003 - March 20, 2008
HORNOR, TOWNSEND & KENT, LLC
May 24, 2002 - January 6, 2003
1717 CAPITAL MANAGEMENT COMPANY
September 28, 1983 - January 6, 2003
1717 CAPITAL MANAGEMENT COMPANY
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
