PK
Patrick M. Kelly
SPC
HIGHLANDS RANCH, CO
Some features on this profile are disabled
CRD#: 1258726
PK
Professional summary
Patrick Michael Kelly, AIF® is a registered financial advisor currently at SPC located in Highlands Ranch, Colorado.
Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Patrick has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
DBA - SHAMROCK CAPITAL, INC, HIGHLANDS RANCH, CO. Board member - Ancient Order of Hibernians, Highlands Ranch, CO. Act as financial secretary, no access to funds. Start date: 7/26/23, approx. 3 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Michael Kelly's 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®
Experience
Current
December 2, 2008 - Present
SPC
Office #2: 3969 E. Arapahoe Road Suite 108, Centennial, CO 80122RIA
CRD#: 110692
HIGHLANDS RANCH, CO
Past
December 1, 2008 - June 15, 2020
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
HIGHLANDS RANCH, CO
Past
June 16, 2003 - December 26, 2008
FORTA FINANCIAL GROUP, INC.
RIA
CRD#: 28784
GREENWOOD VILLAGE, CO
Past
December 20, 2001 - December 26, 2008
FORTA FINANCIAL GROUP, INC.
BD
CRD#: 28784
GREENWOOD VILLAGE, CO
Past
July 17, 2001 - January 15, 2002
STANFORD GROUP COMPANY
BD
CRD#: 39285
HOUSTON, TX
Past
December 15, 1997 - July 18, 2001
KFS BD, INC.
BD
CRD#: 490
OMAHA, NE
Past
September 1, 1994 - December 3, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
Past
October 23, 1990 - August 26, 1994
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
NEW YORK, NY
Past
July 11, 1988 - September 17, 1990
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 24, 1988 - July 19, 1988
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
Past
February 2, 1987 - May 28, 1988
SHERWOOD CAPITAL, INC.
BD
CRD#: 10474
Past
May 25, 1984 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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
Colorado(12/2/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
