David H. Kelley
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.
David Henri Kelley, who also goes by David H Kelley, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2015 - November 7, 2016
NICHOLS INVESTMENT MANAGEMENT
January 25, 2008 - May 31, 2013
GROVE POINT INVESTMENTS, LLC
January 7, 2008 - May 3, 2013
SALEM ADVISORY GROUP LLC
March 10, 2003 - September 25, 2007
ALLSTATE FINANCIAL SERVICES, LLC
July 12, 2002 - March 19, 2003
OSAIC WEALTH, INC.
June 6, 2001 - September 17, 2001
CETERA INVESTMENT SERVICES LLC
September 22, 1999 - June 6, 2001
COMPULIFE INVESTOR SERVICES, INC.
January 29, 1987 - September 22, 1999
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
NICHOLS INVESTMENT MANAGEMENT
CRD#: 121108 / SEC#: 801-63208
Contact information
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 58,583,605 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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