Frederick M. Kelley

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CRD#: 266694

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.

Frederick Michael Kelley, who also goes by Fred Michael Kelley, Frederick M Kelley, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1968. Frederick had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Fred Michael Kelley | Frederick M Kelley

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.

The advisor shows no other business activity.

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

November 8, 2016 - September 13, 2018

REVERE SECURITIES LLC

CRD#: 14178

BOSTON, MA

Past

January 7, 2016 - November 1, 2016

ROTHSCHILD LIEBERMAN LLC

CRD#: 10030

Boston, MA

Past

December 14, 2015 - February 26, 2016

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

Boston, MA

Past

October 3, 2014 - February 26, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

BOSTON, MA

Past

July 29, 2013 - December 31, 2013

WHITE, WELD & CO. WEALTH MANAGEMENT

RIA

CRD#: 168086

BOSTON, MA

Past

April 18, 2013 - October 2, 2014

BRAVER STERN SECURITIES LLC

CRD#: 29108

BOSTON, MA

Past

July 12, 2006 - April 19, 2013

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

BOSTON, MA

Past

April 13, 1988 - April 19, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

BOSTON, MA

Past

May 22, 1974 - April 13, 1988

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

Past

May 24, 1973 - June 22, 1974

SHIELDS & COMPANY INCORPORATED

CRD#: 1000002

Past

November 13, 1968 - June 3, 1973

NEWTON INVESTMENT CORP.

CRD#: 620

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 9/19/1961

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/15/1986

Registered Options Principal Examination

Current Firm

REVERE SECURITIES LLC

CRD#: 14178 / SEC#: , 8-30511

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

560 Lexington Avenue 16th Floor, New York, NY 10022

Mailing Address

560 Lexington Avenue 16th Floor, New York, NY 10022

Phone number

(212) 688-2350

Established

Delaware since 12/31/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
REVERE INVESTMENT HOLDINGS LLC	SHAREHOLDER
BODKIN, GREGORY PATRICK	CHIEF COMPLIANCE OFFICER	3008389
FULLMAN, SCOTT HOWARD	PRESIDENT / CHIEF OPERATIONS OFFICER	1516584
MORENO, WILLIAM FRANCIS	CEO / EXECUTIVE CHAIRMAN	2801621
ZULUAGA, OSEAS	CFO / FINOP	4186791

Disclosures

Regulatory Event	14
Arbitration	3

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

Frederick M. Kelley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROTHSCHILD LIEBERMAN LLC

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

WHITE, WELD & CO. WEALTH MANAGEMENT

BRAVER STERN SECURITIES LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

FAHNESTOCK INTERNATIONAL INC.

SHIELDS & COMPANY INCORPORATED

NEWTON INVESTMENT CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2006

Series 63

Date: 9/12/1995

SIE

Date: 9/13/2018

PC

Date: 8/31/1977

Series 1

Date: 9/19/1961

Series 4

Date: 7/15/1986

Current Firm

REVERE SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REVERE SECURITIES LLC

TRUST BUT VERIFY

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