Craig P. Kelley

KELLEY INVESTMENTS

Del Mar, CA

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CRD#: 1244386

Professional summary

Craig Patrick Kelley, CIMA®, CPWA® is a registered financial advisor currently at KELLEY INVESTMENTS located in Del Mar, California.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Craig has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INSURANCE SALES, INVESTMENT RELATED, START DATE 6-30-1988, 1 HR PER MO, 1 HR PER MO DURING TRADING HOURS, COMPENSATION COMMISSION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Patrick Kelley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2017-04-17

Expire date: 2023-03-31

Experience

Current

April 15, 2025 - Present

KELLEY INVESTMENTS

RIA

CRD#: 119099

Del Mar, CA

Past

October 25, 2016 - July 9, 2024

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

DEL MAR, CA

Past

February 2, 2015 - December 31, 2024

KELLEY INVESTMENTS

RIA

CRD#: 119099

DEL MAR, CA

Past

August 28, 2009 - October 24, 2016

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

DEL MAR, CA

Past

February 24, 2006 - December 31, 2009

KELLEY INVESTMENTS

RIA

CRD#: 119099

DEL MAR, CA

Past

February 2, 2006 - August 31, 2009

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

DEL MAR, CA

Past

December 31, 1997 - February 2, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

DEL MAR, CA

Past

February 9, 1996 - February 2, 2006

LPL FINANCIAL LLC

CRD#: 6413

DEL MAR, CA

Past

January 28, 1995 - January 23, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 6, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

March 23, 1992 - February 23, 1993

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

November 30, 1987 - May 17, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 21, 1984 - December 7, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

KELLEY INVESTMENTS

KELLEY INVESTMENTS | KELLEY, CRAIG P | KELLEY INVESTMENTS, LLC

CRD#: 119099 / SEC#: 801-67645

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

California

Registered Investment Advisory firm - (3/21/2007 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/15/2025)

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

IAR

Series 65

Date: 12/23/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1984

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 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/1996

General Securities Principal Examination

Current Firm

KELLEY INVESTMENTS

KELLEY INVESTMENTS | KELLEY, CRAIG P | KELLEY INVESTMENTS, LLC

CRD#: 119099 / SEC#: 801-67645

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

California

Registered Investment Advisory firm - (3/21/2007 Terminated)

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Contact information

Main Address

Del Mar, CA

Mailing Address

Phone number

(858) 350-1010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KELLEY INVESTMENTS ADV PT2 3-12-25 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	342
AUM (Assets Under Management)	$ 195,574,353

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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Advisor Monitoring

Firm Stability Insights

Craig P. Kelley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Patrick Kelley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CEROS FINANCIAL SERVICES, INC.

KELLEY INVESTMENTS

CEROS FINANCIAL SERVICES, INC.

KELLEY INVESTMENTS

GUGGENHEIM DISTRIBUTORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

EQUITY SERVICES, INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

KELLEY INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1994

Series 63

Date: 10/10/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 24

Date: 4/29/1996

Current Firm

KELLEY INVESTMENTS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KELLEY INVESTMENTS

TRUST BUT VERIFY

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