Francis J. 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.
Francis Joseph Kelly, who also goes by Frank Kelly, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1970. Francis had worked at 12 firms and has passed the Series 63, Series 55, Series 000, Series 1, Series 10, Series 9 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
April 11, 2006 - November 5, 2007
OPUS TRADING FUND LLC
February 10, 2005 - September 8, 2005
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
January 27, 2004 - February 7, 2005
GRACE FINANCIAL GROUP LLC
May 20, 1994 - August 12, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 8, 1991 - May 3, 1994
CREDIT SUISSE SECURITIES (USA) LLC
January 1, 1990 - April 9, 1991
BLACKFORD SECURITIES CORP.
May 14, 1988 - March 14, 1989
LEHMAN BROTHERS INC.
February 2, 1976 - May 6, 1979
CIBC WOOD GUNDY SECURITIES CORP.
January 28, 1975 - April 15, 1976
G A SAXTON & CO INC
August 5, 1971 - May 14, 1988
E. F. HUTTON & COMPANY INC
July 23, 1971 - September 22, 1972
PERCY FRIEDLANDER & CO., INC.
September 14, 1970 - August 12, 1971
SINGER & MACKIE, INC.
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 55
Date: 6/10/2005
Limited Representative-Equity Trader ExamSeries 000
Date: 8/5/1971
General Securities Principal ExaminationSeries 1
Date: 8/21/1968
Registered Representative ExaminationCurrent Firm
OPUS TRADING FUND LLC
CRD#: 125204 / SEC#: , 8-65779
Contact information
Documents
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.
