KK
Kevin W. Kelly
RBC CAPITAL MARKETS
Albany, NY 12206-5011
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CRD#: 1292543
KK
Professional summary
Kevin William Kelly is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Albany, New York.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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) WILDWOOD FOUNDATION BOARD OF DIRECTORS. NON-INVESTMENT RELATED. CURRY ROAD, SCHENECTADY, NY. NATURE- NON-PROFIT. POSITION- PRESIDENT. START DATE- 06/21/00. 2 HRS/MONTH; 0 HRS DURING BUSINESS. DUTIES- FUNDRAISING AND ADVOCACY. 2) NAME OF ENTITY: Rental Property-Chestertown, NY ADDRESS: 5387-5391 State Route 8, Chestertown, NY 12817 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: vacation rental property CAPACITY: Owner - Active START DATE: 8/1/20 DUTIES: collect rent, pay expenses, maintain property HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3)NAME: Rental property-Indian Shores Non-Investment related ADDRESS: 18400 Gulf Blvd unit 1112 Indian Shores, Fl 33785 Nature of OBA: vacation rental property Position/Title/Relationship: Owner - Active Start Date: 09/01/20 Time Devoted: less than 1 hr/ avg week; 0 during securities trading DUTIES: maintain property and pay bills 4) NAME OF ENTITY: KKRS Properties, LLC ADDRESS: 1001 West Creek Lane, Altamont, NY 12009 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: rental property CAPACITY: Owner - Active START DATE: 12/23/20 DUTIES: collect rent, pay expenses, maintain property HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Kevin William Kelly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin William 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®
NoneExperience
Current
March 31, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 455 Patroon Creek Blvd. Suite 200, Albany, NY 12206-5011RIA
BD
CRD#: 31194
Albany, NY
Current
March 31, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 455 Patroon Creek Blvd. Suite 200, Albany, NY 12206-5011RIA
BD
CRD#: 31194
Albany, NY
Past
January 13, 2009 - April 4, 2022
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
ALBANY, NY
Past
December 12, 2008 - April 4, 2022
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
ALBANY, NY
Past
July 21, 2000 - December 20, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ALBANY, NY
Past
August 31, 1990 - July 31, 2000
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
August 14, 1984 - September 6, 1990
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York 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.RR
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
RR
Arizona(3/31/2022)
RR
California(3/31/2022)
RR
Colorado(3/31/2022)
RR
Connecticut(3/31/2022)
RR
Florida(3/31/2022)
IAR
Florida(8/8/2024)
RR
Georgia(3/31/2022)
RR
Maine(3/31/2022)
RR
Massachusetts(3/31/2022)
RR
Minnesota(4/8/2022)
RR
New Hampshire(3/31/2022)
RR
New Jersey(3/31/2022)
RR
New York(3/31/2022)
IAR
New York(3/31/2022)
RR
North Carolina(4/5/2022)
RR
Ohio(6/21/2022)
RR
Pennsylvania(3/31/2022)
RR
Rhode Island(8/13/2024)
RR
South Carolina(3/31/2022)
RR
Tennessee(3/31/2022)
RR
Texas(3/31/2022)
IAR
Texas(3/31/2022)
RR
Vermont(3/31/2022)
RR
Virginia(3/31/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
