Donald J. Kellen
Professional summary
Donald James Kellen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donald is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Donald had worked at 8 firms, which includes LAUREL WEALTH ADVISORS INC., TORREY PINES SECURITIES INC., J.P. MORGAN SECURITIES LLC, DREXEL BURNHAM LAMBERT INCORPORATED, DREXEL BURNHAM & CO. INCORPORATED, FAHERTY & FAHERTY INC., BLYTH EASTMAN DILLON & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2021 - September 23, 2022
LAUREL WEALTH ADVISORS, INC.
May 26, 2011 - December 31, 2020
LAUREL WEALTH ADVISORS, INC.
January 10, 2011 - June 13, 2011
TORREY PINES SECURITIES, INC.
January 6, 2011 - June 13, 2011
TORREY PINES SECURITIES, INC.
September 23, 2002 - December 23, 2010
J.P. MORGAN SECURITIES LLC
December 1, 1981 - December 23, 2010
J.P. MORGAN SECURITIES LLC
January 6, 1977 - January 15, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
September 6, 1973 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
October 5, 1972 - September 15, 1973
FAHERTY & FAHERTY INC.
July 22, 1968 - April 26, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
PC
Date: 8/29/1977
AMEX Put and Call ExamSeries 000
Date: 7/15/1968
General Securities Principal ExaminationSeries 1
Date: 7/15/1968
Registered Representative ExaminationCurrent Firm
LAUREL WEALTH ADVISORS, INC.
CRD#: 157139 / SEC#: 801-72334
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,198 |
| AUM (Assets Under Management) | $ 2,383,239,170 |
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.
