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JK

James R. Kelly

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CRD#: 1323155
JK

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.

James Robert Kelly was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 17, 2005 - April 4, 2007

ELECTRONIC ACCESS DIRECT, INC.

BD
CRD#: 36975
TAMPA, FL
Past

November 16, 2004 - September 27, 2006

SUNSTATE EQUITY TRADING

BD
CRD#: 43571
TAMPA, FL
Past

February 6, 1998 - September 14, 2004

SUNSTATE EQUITY TRADING

BD
CRD#: 43571
TAMPA, FL
Past

March 2, 1995 - August 8, 1997

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

November 7, 1994 - February 13, 1995

PALM STATE EQUITIES, INC.

BD
CRD#: 24271
SUN CITY CENTER, FL
Past

October 6, 1988 - March 10, 1989

INVESTORS CENTER, INC.

BD
CRD#: 14670
HAUPPAGUE, NY
Past

June 23, 1987 - August 30, 1988

GRAYSTONE NASH, INC.

BD
CRD#: 10635
Past

November 21, 1984 - May 7, 1987

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/18/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/14/1997
Financial and Operations Principal Examination

Current Firm

EA
ELECTRONIC ACCESS DIRECT, INC.
ALLEN DOUGLAS DIRECT, INC. | WORLD CAPITAL GROWTH CORPORATION | G.L. BARRETT & ASSOCIATES, SECURITIES INCORPORATED | ELECTRONIC ACCESS DIRECT, INC. | ELECTRONIC ACCESS DIRECT | EADIRECT, INC.

CRD#: 36975 / SEC#: , 8-47549

BD
Terminated by SEC on 11/24/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/01/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BARRETT, RICHARD LEEPRESIDENT/CCO/FINOP2516978
EDWARDS, DONALD WILLIAM JRCHMN/CEO2539678
BERKOWITZ, WILLIAMPREFERRED OWNER
HUGHES, ROBERT KPREFERRED OWNER

Disclosures

Regulatory Event2

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.

Company Information

ELECTRONIC ACCESS DIRECT, INC.

CRD#: 36975

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