Timothy P. 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.
Timothy Phillip Kelley, who also goes by Timothy Philip Kelley, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1987. Timothy had worked at 10 firms and has passed the Series 63, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1999 - October 8, 2004
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1997 - October 16, 1998
ABEL/NOSER CORP.
June 20, 1996 - November 6, 1996
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
March 4, 1994 - August 15, 1995
MIDWOOD SECURITIES, INC.
January 17, 1994 - January 26, 1994
HAPOALIM SECURITIES USA, INC.
April 14, 1993 - August 11, 1993
FIRST INSTITUTIONAL SECURITIES, L.L.C.
March 5, 1992 - September 9, 1992
FUNDAMENTAL CORPORATE BOND BROKERS
January 20, 1992 - September 9, 1992
FUNDAMENTAL BROKERS
August 28, 1990 - January 16, 1992
INTERCAPITAL GOVERNMENT SECURITIES INC.
January 30, 1990 - August 2, 1990
FUNDAMENTAL BROKERS
July 25, 1987 - June 19, 1989
INTERCAPITAL GOVERNMENT SECURITIES 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
Series 25
Date: 11/9/1999
NYSE Trading Assistant ExaminationCurrent Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
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.
