DK
Daniel J. Kelly
THOROUGHBRED FINANCIAL SERVICES
Brentwood, TN 37027
Some features on this profile are disabled
CRD#: 2378762
DK
Professional summary
Daniel James Kelly, CFP® is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 2 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 27 and Series 24 exams.
Question & Answer
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.
THOROUGHBRED FINANCIAL SERVICES (INDEPENDENT INSURANCE AGENCY) 5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN 37027 -INVESTMENT RELATED - INSURANCE AGENT - SINCE 2000- ESTIMATED 5% OF TIME (8 HRS A MONTH) DEVOTED TO THIS AREA WHICH OCCURS DURING SECURITIES TRADING HOURS. ENGAGED IN SELLING LIFE, DISABILITY, MEDICAL AND LONG TERM CARE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Kelly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel James 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®
Experience
Current
January 7, 2004 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way Suite 300, Brentwood, TN 37027Office #2: 7 Security Drive, Jackson, TN 38305Office #3: 12740 Kingston Pike Suite 207, Knoxville, TN 37934Office #4: 1517 Hatcher Lane, Columbia, TN 38401RIA
BD
CRD#: 47893
Brentwood, TN
Current
January 19, 2000 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way Suite 300, Brentwood, TN 37027Office #2: 7 Security Drive, Jackson, TN 38305Office #3: 12740 Kingston Pike Suite 207, Knoxville, TN 37934Office #4: 1517 Hatcher Lane, Columbia, TN 38401RIA
BD
CRD#: 47893
Brentwood, TN
Past
May 16, 2000 - December 22, 2000
ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION
BD
CRD#: 17472
BRENTWOOD, TN
Past
August 6, 1993 - April 1, 2000
ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION
BD
CRD#: 17472
BRENTWOOD, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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.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
Alabama(3/28/2000)
RR
Arkansas(3/19/2001)
RR
Florida(11/7/2000)
RR
Georgia(3/8/2000)
RR
Illinois(4/26/2000)
RR
Indiana(3/27/2000)
RR
Kentucky(3/8/2000)
RR
Mississippi(3/16/2000)
RR
New Hampshire(7/12/2004)
RR
North Carolina(3/8/2000)
RR
Ohio(5/19/2000)
RR
Rhode Island(6/10/2009)
RR
South Dakota(10/2/2018)
RR
Tennessee(3/3/2000)
IAR
Tennessee(1/7/2004)
RR
Utah(4/9/2013)
RR
Wyoming(2/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5110 Maryland Way Suite 300, Brentwood, TN 37027-7508
Mailing Address
5110 Maryland Way Suite 300, Brentwood, TN 37027
Phone number
(615) 371-0001
Established
Tennessee since 06/24/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (22 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARKER FAMILY TRUST | MEMBER | |
| ATKINS, JOHN SEXTON | MEMBER | 709695 |
| HARTLEY, LAWRENCE RANDALL | MEMBER | 1235172 |
| PARKER, PATRICK GIBBONS | MEMBER | 709713 |
| STEELE, BARRY GENE | MEMBER | 1000525 |
| WEDDINGTON, WILLIAM ALLEN | MEMBER | 709720 |
| HERNDON, JACK CLARK JR | EXECUTIVE V.P. SECURITIES | 1286530 |
| KELLY, DANIEL JAMES | V.P. OPERATIONS - CCO, CFO | 2378762 |
| PARKER, SUSAN SWEENEY | TRUSTEE OF PARKER FAMILY TRUST | 3265529 |
| PARKER, THOMAS JENKINS | PRESIDENT, CEO | 356789 |
Regulatory assets under management
| Total Number of Accounts | 6,789 |
| AUM (Assets Under Management) | $ 3,409,535,678 |
Disclosures
| Regulatory Event | 1 |
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.
