Richard P. 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.
Richard Patrick Kelly was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2011 - November 16, 2012
GLADING GROUP, LLC
November 19, 2007 - July 8, 2009
TRANSAMERICA INVESTORS SECURITIES, LLC
January 1, 2005 - August 24, 2006
JOHN HANCOCK DISTRIBUTORS LLC
December 15, 1997 - January 1, 2005
SIGNATOR INVESTORS, INC.
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
Current Firm
GLADING GROUP, LLC
CRD#: 140480 / SEC#: 801-77799
Contact information
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.
