Kevin B. Kelly

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CRD#: 2658650

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.

Kevin Brian Kelly was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1996. Kevin had worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 11, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

1. NAME OF OTHER BUSINESS: UBER INVESTMENT RELATED: NO ADDRESS: GREATER CHICAGO, IL NATURE OF BUSINESS: DRIVING POSITION/TITLE/RELATIONSHIP: DRIVER START DATE: 6/2017 APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: TAKE RIDERS FROM LOCATION TO ANOTHER 2. NAME OF OTHER BUSINESS: LYFT INVESTMENT RELATED: NO ADDRESS: GREATER CHICAGO, IL NATURE OF BUSINESS: DRIVING POSITION/TITLE/RELATIONSHIP: DRIVER START DATE: 6/2017 APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: TAKE RIDERS FROM LOCATION TO ANOTHER

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

July 17, 2019 - April 29, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SCHAUMBURG, IL

Past

September 12, 2012 - April 29, 2025

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

October 24, 2005 - June 2, 2012

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

April 24, 2003 - October 20, 2003

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

January 7, 2000 - February 4, 2003

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

September 30, 1997 - July 5, 2000

INVESTMENT NETWORK, INC.

CRD#: 7685

FRANKLIN PARK, IL

Past

April 15, 1997 - September 30, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 30, 1996 - April 11, 1997

INVESTMENT NETWORK, INC.

CRD#: 7685

FRANKLIN PARK, IL

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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 66

Date: 7/16/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/28/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/1/1996

General Securities Representative Examination

General Industry/Product Exam

Series 11

Date: 1/29/1996

Assistant Representative-Order Processing Qualification Exam

Principal/Supervisory Exam

Series 53

Date: 1/2/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Advisor Monitoring

Firm Stability Insights

Kevin B. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

CETERA FINANCIAL SPECIALISTS LLC

LASALLE FINANCIAL SERVICES, INC.

CHARTER ONE SECURITIES, INC.

INVESTMENT NETWORK, INC.

UBS FINANCIAL SERVICES INC.

INVESTMENT NETWORK, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/16/2019

Series 63

Date: 12/5/1995

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/28/2000

Series 7

Date: 10/1/1996

Series 11

Date: 1/29/1996

Series 53

Date: 1/2/2023

Series 24

Date: 1/2/2023

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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