James J. Kelly

OSAIC WEALTH

Commack, NY 11725

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CRD#: 1252018

Professional summary

James Joseph Kelly JR is a registered financial advisor currently at OSAIC WEALTH, INC. located in Commack, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 51 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.

1. Insurance Broker - Life Insurance, Annuity, Disability Insurance, LTC, Health & Group Benefits, under DBA Atlantic Advisors, LLC, 58 Motor Parkway, Suite 400A, Commack, NY 11725, approximate # of hours per month 5, approximate # of hours during regular securities trading hours 5 hours per month. 2. M AND B ASSOCIATES POSITION: partner w no activity other then reviewing the bal sheet and p and l sheets NATURE: limited silent partnership of a tax prep and book keeping co INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/13/2015 ADDRESS: 58 motor parkway suite 400A, commack NY 11725, United States DESCRIPTION: no duties other then reviewing the p and l and bal sheets 3. ATLANTIC ADVISORS, LLC POSITION: Investment Advisor Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 11/11/2015 ADDRESS: 58 Motor Parkway Suite 400A, Commack NY 11725, United States DESCRIPTION: service and support existing clients and gain new clients through referrals 4. RENTAL PROPERTY INCOME POSITION: owner of the residence NATURE: Rental Income on Vacation Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/16/2025 ADDRESS: 103 23rd Ave,, Apt 3, South Seaside Park NJ 08752, United States DESCRIPTION: simply the owner who would rent the house out to folks interested in living a week at a time at the beach

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Kelly JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Joseph Kelly JR'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®

None

Experience

Current

April 26, 2021 - Present

OSAIC WEALTH, INC.

Office #1: 58 Motor Parkway Suite 400a, Commack, NY 11725

RIA

CRD#: 23131

Commack, NY

Current

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 58 Motor Parkway Suite 400a, Commack, NY 11725

RIA

CRD#: 23131

Commack, NY

Past

September 7, 2004 - December 31, 2017

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

COMMACK, NY

Past

April 17, 1984 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 17, 1984 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

COMMACK, NY

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/16/2021)

California
(11/2/2018)

Colorado
(11/2/2018)

Connecticut
(11/2/2018)

Delaware
(11/2/2018)

Florida
(11/2/2018)

Georgia
(11/2/2018)

Maryland
(11/2/2018)

Massachusetts
(11/2/2018)

Minnesota
(11/2/2018)

Missouri
(11/2/2018)

Nevada
(1/16/2020)

New Jersey
(11/2/2018)

IAR

New Jersey
(10/1/2024)

New York
(11/2/2018)

IAR

New York
(4/26/2021)

North Carolina
(11/2/2018)

Pennsylvania
(11/2/2018)

South Carolina
(11/2/2018)

Texas
(11/2/2018)

Virginia
(11/2/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/4/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/30/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/16/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/28/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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

James J. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Kelly JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Joseph Kelly JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/30/1999

Series 6

Date: 4/16/1984

Series 51

Date: 4/28/2003

Series 24

Date: 5/18/1999

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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