Kevin J. Colley

SALEM ADVISORY GROUP LLC

Wells, ME 04090

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CRD#: 2625968

Professional summary

Kevin James Colley, CFP® is a registered financial advisor currently at SALEM ADVISORY GROUP LLC located in Wells, Maine.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Kevin has worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

NAME & ADDRESS: CHEVERUS HIGH SCHOOL; 267 OCEAN AVENUE, PORTLAND, ME 04103 NATURE OF BUSINESS: NON-PROFIT JESUIT HIGH SCHOOL; NOT INVESTMENT RELATED POSITION: AD HOC NON-VOTING INVESTMENT COMMITTEE MEMBER START DATE: 9/1/2014 NUMBER OF HOURS WORKED PER MONTH: 1 NUMBER OF HOURS WORKED PER MONTH DURING REGULAR TRADING HOURS: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin James Colley'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

August 20, 2009 - Present

SALEM ADVISORY GROUP LLC

Office #1: 1332 Post Road Suite 2a, Wells, ME 04090

RIA

CRD#: 145697

Wells, ME

Past

June 16, 2009 - January 10, 2012

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

KENNENBUNK, ME

Past

March 25, 2004 - July 8, 2009

LIGHTHOUSE INVESTMENTS

RIA

CRD#: 119974

WELLS, ME

Past

November 1, 2000 - January 1, 2001

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

January 4, 1999 - October 31, 2000

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

June 22, 1995 - January 21, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 22, 1995 - January 21, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Highlighted states indicate IAR registrations

IAR

Florida
(1/15/2015)

IAR

Maine
(8/20/2009)

IAR

Massachusetts
(1/2/2015)

IAR

New Hampshire
(2/11/2014)

IAR

Ohio
(4/29/2019)

IAR

Texas
(1/11/2018)

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

Series 63

Date: 7/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/15/2009

General Securities Representative Examination

Current Firm

SALEM ADVISORY GROUP LLC

SALEM ADVISORY GROUP LLC | STAFFORD ADVISORY GROUP LLC

CRD#: 145697 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (12/16/2014 Approved)

Maine

Registered Investment Advisory firm - (1/7/2008 Approved)

Massachusetts

Registered Investment Advisory firm - (1/2/2015 Approved)

New Hampshire

Registered Investment Advisory firm - (2/11/2014 Approved)

North Carolina

Registered Investment Advisory firm - (11/24/2021 Terminated)

Ohio

Registered Investment Advisory firm - (4/29/2019 Approved)

Texas

Registered Investment Advisory firm - (1/10/2018 Conditional Restricted)

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).

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Contact information

Main Address

1332 Post Road Suite 2a, Wells, ME 04090

Mailing Address

1332 Post Road Suite 2a, Wells, ME 04090

Phone number

(207) 641-8332

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	476
AUM (Assets Under Management)	$ 65,761,363

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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Kevin J. Colley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin James Colley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SALEM ADVISORY GROUP LLC

GROVE POINT INVESTMENTS, LLC

LIGHTHOUSE INVESTMENTS

FSC SECURITIES CORPORATION

COMMONWEALTH FINANCIAL NETWORK

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/18/1995

Series 7

Date: 6/15/2009

Current Firm

SALEM ADVISORY GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SALEM ADVISORY GROUP LLC

TRUST BUT VERIFY

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