Kevin B. 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.
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2019 - April 29, 2025
CETERA INVESTMENT ADVISERS LLC
September 12, 2012 - April 29, 2025
CETERA FINANCIAL SPECIALISTS LLC
October 24, 2005 - June 2, 2012
CETERA FINANCIAL SPECIALISTS LLC
April 24, 2003 - October 20, 2003
LASALLE FINANCIAL SERVICES, INC.
January 7, 2000 - February 4, 2003
CHARTER ONE SECURITIES, INC.
September 30, 1997 - July 5, 2000
INVESTMENT NETWORK, INC.
April 15, 1997 - September 30, 1997
UBS FINANCIAL SERVICES INC.
January 30, 1996 - April 11, 1997
INVESTMENT NETWORK, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamSeries 11
Date: 1/29/1996
Assistant Representative-Order Processing Qualification ExamCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
