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RK

Richard J. Kelly

Some features on this profile are disabled
CRD#: 1390392
RK

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 James Kelly was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 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

January 26, 2015 - August 18, 2017

DEMOPOLIS CAPITAL INC.

BD
CRD#: 14234
HARLEM, NY
Past

April 7, 2011 - February 13, 2014

DEMOPOLIS CAPITAL INC.

BD
CRD#: 14234
HARLEM, NY
Past

April 1, 2008 - April 20, 2009

DEMOPOLIS CAPITAL INC.

BD
CRD#: 14234
HARLEM, NY
Past

April 3, 2006 - February 29, 2008

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

September 8, 2005 - October 18, 2005

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

April 7, 2003 - May 13, 2004

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

December 20, 2000 - March 31, 2003

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

February 6, 1998 - November 13, 2000

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

July 23, 1991 - December 21, 1997

M. A. SCHAPIRO & CO., INC.

BD
CRD#: 3278
NEW YORK, NY
Past

January 2, 1991 - July 30, 1991

ADAMS, COHEN SECURITIES INC.

BD
CRD#: 15756
Past

April 21, 1987 - February 28, 1989

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
Past

October 22, 1985 - March 26, 1987

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481

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: 1/30/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/7/2003
General Securities Principal Examination

Current Firm

DC
DEMOPOLIS CAPITAL INC.
DEMOPOLIS CAPITAL INC. | JOHN W. LOOFBOURROW ASSOCIATES, INC.

CRD#: 14234 / SEC#: , 8-26525

BD
Terminated by SEC on 03/30/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/07/1980
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FUQUA, GAREY MANNENCEO/ PRESIDENT2980940
LOOFBOURROW, JOHN WADECHIEF COMPLIANCE OFFICER/FINOP312494

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

DEMOPOLIS CAPITAL INC.

CRD#: 14234

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