Philip S. Kelley
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.
Philip Sheridan Kelley was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1969. Philip had worked at 7 firms and has passed the Series 65, Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2006 - November 28, 2012
PORTFOLIO DESIGN ADVISORS, INC.
July 8, 1997 - May 31, 2006
ASSOCIATED SECURITIES CORP.
July 8, 1997 - May 31, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
October 7, 1986 - August 20, 1988
PRUCO SECURITIES, LLC.
May 18, 1983 - May 31, 2006
ASSOCIATED SECURITIES CORP.
December 11, 1979 - May 5, 1983
LPL FINANCIAL LLC
November 14, 1972 - December 21, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 1, 1969 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & 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
Series 1
Date: 7/25/1969
Registered Representative ExaminationSeries 40
Date: 5/15/1972
Registered Principal ExaminationCurrent Firm
PORTFOLIO DESIGN ADVISORS, INC.
CRD#: 137789 / SEC#: 801-64971
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 157 |
| AUM (Assets Under Management) | $ 38,926,073 |
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.
