Gerald T. 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.
Gerald Thomas Kelly, who also goes by Gerald Kelly, Gerry Kelly, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1990. Gerald had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
October 23, 2009 - May 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - May 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 8, 2000 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 7, 2000 - December 19, 2000
LPL FINANCIAL LLC
June 7, 1999 - March 23, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 1997 - May 12, 1999
INVEST FINANCIAL CORPORATION
May 28, 1996 - March 18, 1997
ASB FINANCIAL SERVICES
September 6, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
August 24, 1995 - May 23, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 25, 1993 - August 25, 1995
WELLS FARGO SECURITIES INC.
April 8, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
August 16, 1990 - April 16, 1992
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
