John R. 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.
John Richard Kelly III was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 5, Series 15, Series 3, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2007 - August 26, 2019
ZACKS INVESTMENT MANAGEMENT, INC.
February 2, 2006 - November 16, 2007
INVEST FINANCIAL CORPORATION
August 9, 2005 - November 16, 2007
INVEST FINANCIAL CORPORATION
March 27, 2002 - August 3, 2005
METROPOLITAN LIFE INSURANCE COMPANY
March 27, 2002 - August 3, 2005
MSI FINANCIAL SERVICES, INC.
August 25, 1999 - January 28, 2002
J. SCOTT SECURITIES CORP.
November 7, 1995 - May 11, 1998
KFS BD, INC.
August 30, 1991 - October 17, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 1983 - September 26, 1991
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
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
Series 5
Date: 6/15/1989
Interest Rate Options ExaminationSeries 15
Date: 12/7/1984
Foreign Currency Options ExaminationSeries 8
Date: 10/31/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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