Michael C. 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.
Michael Collins Kelley, who also goes by Mike Kelley, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 10 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2011 - November 9, 2012
ALLSTATE FINANCIAL SERVICES, LLC
April 12, 2010 - October 12, 2010
AMERITAS INVESTMENT COMPANY, LLC
June 26, 2009 - April 13, 2010
FORESTERS EQUITY SERVICES, INC.
May 20, 2005 - December 2, 2008
MUTUAL OF AMERICA SECURITIES LLC
May 20, 2005 - December 2, 2008
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
April 21, 1999 - June 30, 2004
SIGNATOR FINANCIAL SERVICES, INC.
February 9, 1996 - April 6, 1999
SUNAMERICA SECURITIES, INC.
February 16, 1993 - December 31, 1995
OLD SLIP CAPITAL MANAGEMENT, INC.
January 15, 1988 - March 6, 1991
F & G SECURITIES, INC.
February 23, 1984 - December 1, 1987
PRUCO SECURITIES, LLC.
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
