David J. 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.
David James Kelly was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 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, 2017 - July 31, 2025
KELLY AND ASSOCIATES
December 8, 1998 - August 5, 2025
OSAIC WEALTH, INC.
May 5, 1998 - September 11, 1998
SUNAMERICA SECURITIES, INC.
August 29, 1995 - April 30, 1998
FAB SECURITIES OF AMERICA, INC.
June 24, 1994 - September 25, 1995
FAS WEALTH MANAGEMENT SERVICES, INC.
July 10, 1992 - July 5, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 25, 1991 - July 28, 1992
J. W. GANT & ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KELLY AND ASSOCIATES
CRD#: 115473 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 2,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
