Scott E. Kelly
Professional summary
Scott Edward Kelly was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Scott had worked at 6 firms, which includes DOMINICK & DICKERMAN LLC, TRUIST INVESTMENT SERVICES INC., TRUIST SECURITIES INC., CREDIT SUISSE SECURITIES (USA) LLC, PERSHING LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2006 - July 1, 2009
DOMINICK & DICKERMAN LLC
September 11, 2006 - July 1, 2009
DOMINICK & DICKERMAN LLC
June 30, 2005 - September 14, 2006
TRUIST INVESTMENT SERVICES, INC.
June 27, 2005 - September 14, 2006
TRUIST INVESTMENT SERVICES, INC.
March 26, 2003 - June 30, 2005
TRUIST SECURITIES, INC.
March 24, 2003 - June 30, 2005
TRUIST SECURITIES, INC.
February 28, 2003 - April 1, 2003
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - April 1, 2003
CREDIT SUISSE SECURITIES (USA) LLC
December 19, 1996 - January 17, 2003
PERSHING LLC
February 1, 1993 - January 1, 1997
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
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