CK
Christopher S. Kelly
SPC
Flint, MI 48532
Some features on this profile are disabled
CRD#: 2462202
CK
Professional summary
Christopher Saul Kelly JR, who also goes by Christopher Saul Kelly, is a registered financial advisor currently at SPC located in Flint, Michigan and SIGMA FINANCIAL CORPORATION located in Flint, Michigan.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Saul 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.
DBA - Fulcrum Point Wealth Management, Flint, MI. Name used for financial services practice with Sigma Financial Corp. and SPC. Start date: 9/5/2017, approx. 160 hrs/mo. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Saul Kelly JR'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®
NoneExperience
Current
September 5, 2017 - Present
SPC
Office #1: 2387 S. Linden Road Ste. B144, Flint, MI 48532RIA
CRD#: 110692
Flint, MI
Current
September 5, 2017 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 2387 S. Linden Road Ste. B144, Flint, MI 48532BD
CRD#: 14303
Flint, MI
Past
October 12, 2010 - September 13, 2017
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
EAST LANSING, MI
Past
October 12, 2010 - September 13, 2017
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
EAST LANSING, MI
Past
May 12, 2009 - October 15, 2010
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
FLINT, MI
Past
March 13, 2009 - October 15, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
FLINT, MI
Past
January 9, 2008 - March 13, 2009
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
FLINT, MI
Past
June 16, 1998 - January 18, 2008
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
FLINT, MI
Past
May 11, 1998 - September 25, 1999
RONEY & CO.
BD
CRD#: 45091
DETROIT, MI
Past
August 25, 1995 - May 11, 1998
RONEY & CO. L.L.C.
BD
CRD#: 900
DETROIT, MI
Past
January 4, 1995 - September 14, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 20, 1994 - January 3, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 20, 1994 - January 3, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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
Georgia(9/5/2017)
RR
Michigan(9/5/2017)
IAR
Michigan(9/5/2017)
RR
Texas(9/5/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
