Richard K. 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 Keith Kelly, who also goes by Rick Kelly, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 8 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2009 - December 2, 2013
FOOTHILL SECURITIES, INC.
December 19, 2003 - August 3, 2009
CUE FINANCIAL GROUP, INC.
August 4, 1993 - December 19, 2003
SIGMA FINANCIAL CORPORATION
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
July 22, 1992 - December 23, 1992
USA FINANCIAL GROUP, INC.
March 20, 1991 - July 28, 1992
VESTAX SECURITIES CORPORATION
May 21, 1990 - May 8, 1991
FIRST FINANCIAL MONETARY SYSTEMS, INC.
September 12, 1989 - May 24, 1990
USA FINANCIAL GROUP, INC.
April 9, 1987 - September 20, 1989
FORESTERS FINANCIAL SERVICES, 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
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
