Thomas E. Kelly
Professional summary
Thomas Edward Kelly was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Thomas had worked at 5 firms, which includes M&T SECURITIES INC., CHASE INVESTMENT SERVICES CORP., FISERV INVESTOR SERVICES INC., CAPITAL BROKERAGE CORPORATION, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 1999 - December 1, 2010
M&T SECURITIES, INC.
August 21, 1996 - November 1, 1999
CHASE INVESTMENT SERVICES CORP.
February 1, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
August 16, 1991 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
November 6, 1985 - August 30, 1991
PRUCO SECURITIES, LLC.
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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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