Patrick J. 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.
Patrick James Kelly was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1994. Patrick had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2017 - November 2, 2020
KOVACK SECURITIES INC.
January 31, 2014 - December 31, 2015
COHEN & COMPANY SECURITIES, LLC
June 4, 2012 - January 31, 2014
JVB FINANCIAL GROUP, LLC
April 6, 2009 - November 11, 2010
MSC - BD, LLC
June 1, 2001 - March 13, 2008
LASALLE FINANCIAL SERVICES, INC.
September 22, 1999 - June 6, 2001
ABN AMRO INCORPORATED
September 1, 1994 - September 15, 1999
CITICORP INVESTMENT SERVICES
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 7TO
Date: 7/13/2022
General Securities Representative ExaminationSeries 79TO
Date: 7/13/2022
Investment Banking Registered Representative ExaminationCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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