Mark S. Kelly

UNIVERSITY FINANCIAL STRATEGIES.

Raleigh, NC 27612

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CRD#: 2287975

Professional summary

Mark Sean Kelly, CFP® is a registered financial advisor currently at UNIVERSITY FINANCIAL STRATEGIES, LLC. located in Raleigh, North Carolina.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Mark has worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 23, Series 24 and Series 8 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Insurance Planning

Social Security Planning

Comprehensive Financial Planni...

Budgeting

Investment Planning

Debt Management

Retirement Income Management

Estate Planning

Education Planning

Do you have an area of expertise or specialization?

AUM

Baby Boomers

Cash Flow/Budgets/Credit Issue...

Charitable Giving

College/Education Planning

Estate & Generational Planning...

What is your minimum asset requirement?

250K

Are you a "fiduciary"?

Yes

Aliases

None

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.TEAL TIDES, 205 SEA DREAMS DR, ATLANTIC BEACH, NC, 6/2015 AS OWNER OF RENTAL BEACH HOME. NIR - 5 HR/MO - 0/TRADES. 2. Sea Dreams Inc. 316-C Commerce Avenue Morehead City NC 28557. Board member for Sea dreams home Owners Association. 10/04/2017, not investment related, 10hrs yearly and 0 during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Sean 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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

July 23, 2018 - Present

UNIVERSITY FINANCIAL STRATEGIES, LLC.

Office #1: 4801 Glenwood Avenue Suite 200-630, Raleigh, NC 27612

RIA

CRD#: 7784

SMITHFIELD, RI

Past

June 17, 1993 - November 2, 2000

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 14, 1993 - December 13, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 7, 1992 - April 6, 1993

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(7/23/2018)

IAR

Texas
(4/11/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Series 8

Date: 12/5/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

UNIVERSITY FINANCIAL STRATEGIES, LLC.

CRD#: 297121 / SEC#:

North Carolina

Registered Investment Advisory firm - (7/23/2018 Approved)

Texas

Registered Investment Advisory firm - (4/11/2022 Conditional Restricted)

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Contact information

Main Address

4801 Glenwood Avenue Suite 200-630, Raleigh, NC 27612

Mailing Address

Phone number

(919) 578-6500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	59
AUM (Assets Under Management)	$ 24,480,629

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Mark S. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Sean Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE, INC.

UBS FINANCIAL SERVICES INC.

HIBBARD BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/2014

Series 66

Date: 2/20/2009

SIE

Date: 7/23/2018

Series 7

Date: 12/3/1992

Series 23

Date: 1/2/2009

Series 24

Date: 10/18/2000

Series 8

Date: 12/5/1995

Current Firm

UNIVERSITY FINANCIAL STRATEGIES, LLC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

UNIVERSITY FINANCIAL STRATEGIES, LLC.

TRUST BUT VERIFY

Contact information

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