Brian 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.
Brian James Kelly, who also goes by Brian Kelley, was a registered financial advisor .
Brian is a previously registered financial advisor and started their career in finance in 1992. Brian had worked at 6 firms and has passed the Series 65, Series 63 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
May 12, 2005 - July 23, 2007
FERRIS, BAKER WATTS, LLC
November 19, 2004 - July 23, 2007
FERRIS, BAKER WATTS, LLC
October 1, 1999 - November 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 29, 1999 - November 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 28, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 1, 1997 - April 16, 1998
DB ALEX. BROWN LLC
October 11, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
October 11, 1992 - October 29, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FERRIS, BAKER WATTS, LLC
CRD#: 285 / SEC#: , 8-16427
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS CORPORATION | 100% OWNER | 31194 |
| CHAPMAN, JAMES DOUGLAS | CEO | 728296 |
| COQUELIN, WILLIAM CARL | CHIEF INFORMATION OFFICER | |
| DIRZUWEIT, LENEE BETH | ROSFP | 2480492 |
| HARTMAN, CRAIG ROBERT | CFO | 4413090 |
| KAVANAGH, MICHAEL ROBERT | DIRECTOR | 1021014 |
| KERMEEN, DEBORAH JOY | COO | 2235924 |
| LEAVERTON, KARL VERNON | DIRECTOR | 1106831 |
| RUTHERFORD, PATRICIA ANN | CHIEF COMPLIANCE OFFICER | 5059176 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 18 |
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.
