Kathleen L. 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.
Kathleen Lee Kelly was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1999. Kathleen had worked at 3 firms and has passed the Series 65, 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
January 30, 2012 - December 2, 2020
PSI CAPITAL MANAGEMENT
February 16, 2000 - November 15, 2001
GOLDMAN SACHS & CO. LLC
May 25, 1999 - July 13, 1999
DELAWARE DISTRIBUTORS, L.P.
Primary Firm SEC Registration
PSI CAPITAL MANAGEMENT
CRD#: 117105 / SEC#: 801-112684
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
PSI CAPITAL MANAGEMENT
CRD#: 117105 / SEC#: 801-112684
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,344 |
| AUM (Assets Under Management) | $ 348,126,021 |
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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