Douglas L. Kelly
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.
Douglas Laird Kelly was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1993. Douglas had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2008 - November 17, 2016
FIRST CLEARING, LLC
April 30, 2008 - April 15, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 11, 2007 - April 15, 2019
WELLS FARGO CLEARING SERVICES, LLC
December 30, 1993 - January 3, 2008
A. G. EDWARDS & SONS, INC.
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 8
Date: 9/9/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
