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JK

Joanne T. Kelley

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CRD#: 2323338
JK

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.

Joanne Tracey Kelley was a registered financial professional .

Joanne is a previously registered financial professional and started their career in finance in 1993. Joanne had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 29, 2005 - January 30, 2015

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

December 17, 2004 - April 14, 2005

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
DETROIT, MI
Past

June 16, 1998 - April 14, 2005

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

May 11, 1998 - September 25, 1999

RONEY & CO.

BD
CRD#: 45091
DETROIT, MI
Past

April 6, 1993 - May 11, 1998

RONEY & CO. L.L.C.

BD
CRD#: 900
DETROIT, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/24/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/30/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/1996
General Securities Principal Examination

Current Firm

MF
MFS FUND DISTRIBUTORS, INC.
MFS FUND DISTRIBUTORS, INC. | MFS INVESTOR SERVICES, INC.

CRD#: 31052 / SEC#: , 8-45321

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
111 Huntington Avenue, Boston, MA 02199
Mailing Address
111 Huntington Avenue, Boston, MA 02199
Phone number
(617) 954-5000
Established
Delaware since 10/27/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS FINANCIAL SERVICES COMPANYPARENT COMPANY
GEREMIA, CAROL WILLIAMDIRECTOR AND CHAIRMAN OF THE BOARD1456883
HARDIN, HEIDI WALTERSECRETARY2619251
HUNT, MICHAEL ANDREWCHIEF COMPLIANCE OFFICER4150065
KEENAN, MICHAEL SEANPRESIDENT AND DIRECTOR2324763
SMELSTOR, JOSEPH JOHN IVTREASURER AND SENIOR GROUP CONTROLLER6247186

Disclosures

Regulatory Event1

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

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

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