Keith 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.
Keith James Kelly was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1995. Keith had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
June 12, 2020 - January 6, 2021
FIDELITY BROKERAGE SERVICES LLC
June 20, 2017 - June 24, 2020
CHARLES SCHWAB & CO., INC.
June 20, 2017 - June 24, 2020
CHARLES SCHWAB & CO., INC.
July 7, 2015 - July 26, 2016
AMERICAN PORTFOLIOS ADVISORS, INC
June 25, 2015 - July 26, 2016
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 7, 2014 - March 11, 2015
LPL FINANCIAL LLC
January 6, 2014 - March 11, 2015
LPL FINANCIAL LLC
February 6, 2013 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 22, 2013 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
October 25, 2011 - October 8, 2012
CETERA INVESTMENT ADVISERS LLC
October 24, 2011 - October 8, 2012
CETERA FINANCIAL SPECIALISTS LLC
January 15, 2010 - October 22, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 5, 2009 - October 22, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 15, 2009 - September 28, 2009
NATIONWIDE SECURITIES, LLC
March 8, 2007 - December 17, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 24, 2007 - September 28, 2009
NATIONWIDE SECURITIES, LLC
November 30, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
September 16, 2005 - December 1, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 1, 2004 - July 12, 2005
CETERA FINANCIAL SPECIALISTS LLC
September 30, 2003 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
December 1, 2000 - July 2, 2004
GE INVESTMENT DISTRIBUTORS, INC
March 19, 1998 - January 4, 1999
BNY MELLON SECURITIES CORPORATION
January 17, 1996 - April 18, 1996
UBS FINANCIAL SERVICES INC.
June 8, 1995 - October 31, 1995
CONTINENTAL BROKER-DEALER CORP.
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
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
