BK
Brian J. Kelly
VICUS CAPITAL
Rochester, NY
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CRD#: 2201407
BK
Professional summary
Brian Joseph Kelly, who also goes by Brian J Kelly, is a registered financial advisor currently at VICUS CAPITAL, INC. located in Rochester, New York and CETERA WEALTH SERVICES, LLC located in Rochester, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian J Kelly
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.NAME OF OTHER BUSINESS: VICUS CAPITAL, INC.
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE
START DATE: 11/2019
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE
2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 11/2019
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE
3. NAME OF OTHER BUSINESS: PARTNERS FINANCIAL GROUP / PFG, INC.
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 11/2019
POSITION/TITLE/RELATIONSHIP: ADVISOR
APX NUMBER OF HOURS PER WEEK: 5
APX NUMBER OF HOURS DURING TRADING HOURS: 5
BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
4. NAME OF OTHER BUSINESS: KELLY RETIREMENT SERVICES, LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 12/2009
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Brian Joseph Kelly's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 6, 2019 - Present
VICUS CAPITAL, INC.
RIA
CRD#: 116021
Rochester, NY
Current
November 22, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3313 Chili Avenue Suite B, Rochester, NY 14624BD
CRD#: 13572
Rochester, NY
Past
August 1, 2008 - November 25, 2019
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
LYNBROOK, NY
Past
November 16, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
ROCHESTER, NY
Past
September 15, 1998 - December 14, 2006
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
ROCHESTER, NY
Past
February 7, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 7, 1992 - October 28, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VC
VICUS CAPITAL, INC.
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
CRD#: 116021 / SEC#: 801-60628
RIA
Registered Investment Advisory firm - (10/5/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/12/2021)
RR
New Jersey(1/11/2021)
RR
New York(1/11/2021)
IAR
New York(4/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/25/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICUS CAPITAL, INC.
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
CRD#: 116021 / SEC#: 801-60628
RIA
Registered Investment Advisory firm - (10/5/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
476 Rolling Ridge Drive Suite 315, State College, PA 16801
Mailing Address
Phone number
(855) 558-4287
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
