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BK

Brian J. Kelly

VICUS CAPITAL
Rochester, NY
Some features on this profile are disabled
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Kelly's CRS (Customer Relationship Summary).
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®
None

Experience

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 14624
BD
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)
RR
North Carolina
(4/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/2/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/25/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/20/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/15/2006
Investment Company Products/Variable Contracts Principal Examination
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VICUS CAPITAL ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts9,058
AUM (Assets Under Management)$ 2,574,468,218

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.

Company Information

VICUS CAPITAL, INC.

CRD#: 116021Rochester, NY

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