Tonia R. Kelley
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.
Tonia Rae Kelley, who also goes by Tonia Rae Christensen, Tonia Rae Diaz, Tonia R Kelley, Tonia Rae Peebles, was a registered financial professional .
Tonia is a previously registered financial professional and started their career in finance in 1993. Tonia had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2023 - September 23, 2024
QUARTZ PARTNERS INVESTMENT MANAGEMENT
January 29, 2018 - September 23, 2024
ETICO PARTNERS, LLC
March 9, 2010 - October 24, 2023
ETICO WEALTH MANAGEMENT LLC
January 4, 2010 - January 8, 2018
DINOSAUR FINANCIAL GROUP, L.L.C
May 28, 2009 - December 31, 2009
MCGINN, SMITH & CO., INC.
May 4, 2009 - December 31, 2009
MCGINN, SMITH & CO., INC.
January 1, 2005 - April 7, 2009
BANCNORTH INVESTMENT GROUP, INC.
June 6, 2001 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
June 20, 2000 - June 6, 2001
COMPULIFE INVESTOR SERVICES, INC.
April 12, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 12, 1993 - July 10, 2000
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
QUARTZ PARTNERS INVESTMENT MANAGEMENT
CRD#: 174327 / SEC#: 801-80822
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
QUARTZ PARTNERS INVESTMENT MANAGEMENT
CRD#: 174327 / SEC#: 801-80822
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,124 |
| AUM (Assets Under Management) | $ 281,034,901 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
