Scott H. Kelley

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CRD#: 2527243

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.

Scott Hendren Kelley, who also goes by Scott H Kelley, Scott Hendren Kelley, Scott Kelley, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott H Kelley | Scott Hendren Kelley | Scott Kelley

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.

I*84615 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GATEWAY TO NEW HOPE LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW HOPE, PENNSYLVANIA 18938 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 12/2/2013 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PRIVATE PARTNERSHIP FORMED TO BUILD A HOTEL/RESTAURANT IN NEW HOPE, PA. I AM AN INVESTOR BUT HAVE NO PAID ROLE IN THE PROJECT 1/3 partners in an LLC called "3 Clinton Street Partners" where we are trying to build and sell 3 townhouses in Lambertville, NJ. We are trying to obtain approvals so that we can begin construction this summer and sell all 3 units by Spring 2017. The partnership was formed in Oct 2015. This partnership has no involvement with RWM or any of its current clients.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 2, 2016 - May 22, 2024

ROCKWOOD WEALTH MANAGEMENT, LLC

RIA

CRD#: 137481

NEW HOPE, PA

Past

January 21, 2016 - February 23, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PRINCETON, NJ

Past

September 17, 2015 - February 23, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PRINCETON, NJ

Past

July 10, 2014 - May 29, 2015

BRITEHORN SECURITIES

CRD#: 36402

DENVER, CO

Past

May 15, 2007 - June 1, 2011

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA

CRD#: 104525

WEST CONSHOHOCKEN, PA

Past

June 30, 2006 - August 15, 2012

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

WEST CONSHOHOCKEN, PA

Past

June 20, 2006 - July 11, 2006

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WEST CONSHOHOCKEN, PA

Past

June 15, 2006 - July 11, 2006

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

January 1, 2005 - June 1, 2006

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

KING OF PRUSSIA, PA

Past

March 19, 2002 - January 1, 2005

BNP PARIBAS BROKERAGE SERVICES, INC.

CRD#: 31394

KING OF PRUSSIA, PA

Past

August 25, 1994 - March 12, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

ROCKWOOD WEALTH MANAGEMENT, LLC

BOOTH ADVISORY GROUP, LLC | ROCKWOOD WEALTH MANAGEMENT, LLC

CRD#: 137481 / SEC#: 801-69884

RIA

Registered Investment Advisory firm - (1/26/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/27/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/14/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/31/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/24/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/2011

General Securities Principal Examination

Current Firm

ROCKWOOD WEALTH MANAGEMENT, LLC

BOOTH ADVISORY GROUP, LLC | ROCKWOOD WEALTH MANAGEMENT, LLC

CRD#: 137481 / SEC#: 801-69884

RIA

Registered Investment Advisory firm - (1/26/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/27/2009 Terminated)

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Contact information

Main Address

6464 Lower York Road, New Hope, PA 18938

Mailing Address

Phone number

(267) 983-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWM ADV PART2A BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	4,476
AUM (Assets Under Management)	$ 2,185,443,848

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/20/2023	Cover Page	Report
02/02/2023	Cover Page	Report

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.

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Scott H. Kelley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BRITEHORN SECURITIES

MORGAN STANLEY INVESTMENT ADVISORS INC.

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

BNP PARIBAS SECURITIES CORP.

BNP PARIBAS BROKERAGE SERVICES, INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

ROCKWOOD WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2016

Series 63

Date: 9/9/1994

SIE

Date: 2/23/2016

Series 3

Date: 8/31/1994

Series 7

Date: 8/24/1994

Series 24

Date: 9/9/2011

Current Firm

ROCKWOOD WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ROCKWOOD WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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