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TK

Thomas C. Kelly

SUNSTREET SECURITIES
Avondale, AZ 85392
Some features on this profile are disabled
CRD#: 2360544
TK

Professional summary

Thomas Christopher Kelly, who also goes by Buck Kelly, Tom Kelly, is a registered financial professional currently at SUNSTREET SECURITIES, LLC located in Avondale, Arizona.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 6 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Buck Kelly | Tom Kelly

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) - BD

Click below to view Thomas Christopher Kelly's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 23, 2013 - Present

SUNSTREET SECURITIES, LLC

Office #1: 10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392
RIA
BD
CRD#: 143211
Avondale, AZ
Past

December 2, 2003 - March 18, 2013

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
ORADELL, NJ
Past

August 5, 2002 - December 6, 2002

GRANTA CAPITAL GROUP LLC

BD
CRD#: 114657
NEW YORK, NY
Past

June 6, 1996 - May 16, 2001

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

August 24, 1995 - April 16, 1996

CROWN FINANCIAL GROUP, INC.

BD
CRD#: 540
JERSEY CITY, NJ
Past

November 10, 1993 - August 8, 1995

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(12/14/2020)
RR
New Jersey
(5/30/2013)
RR
New York
(6/21/2013)
RR
Pennsylvania
(4/15/2014)
RR
South Carolina
(5/23/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/26/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/3/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SUNSTREET SECURITIES, LLC
SUNSTREET SECURITIES, LLC

CRD#: 143211 / SEC#: , 8-67541

Delaware
Registered Investment Advisory firm - SEC (12/31/2016 Terminated)
Nevada
Registered Investment Advisory firm - SEC (11/20/2007 Approved)
New Jersey
Registered Investment Advisory firm - SEC (8/23/2018 Terminated)
Texas
Registered Investment Advisory firm - SEC (6/4/2018 Conditional Restricted)
Washington
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392
Mailing Address
10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392
Phone number
(800) 823-1822
Established
Arizona since 01/04/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
19

FINRA licenses (38 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
HADDAD, MUNIB SAIDCEO/CCO/CFO/FINOP/ROSFP/MANAGING MEMBER2610231

Regulatory assets under management

Total Number of Accounts48
AUM (Assets Under Management)$ 5,900,000

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

SUNSTREET SECURITIES, LLC

CRD#: 143211Avondale, AZ 85392

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