Lawrence E. 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.
Lawrence Edward Kelly was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1967. Lawrence had worked at 8 firms and has passed the Series 3, Series 41 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 1983 - February 17, 1984
CAPITAL QUEST SECURITIES, INC.
December 29, 1981 - December 27, 1983
FIDELITY BROKERAGE SERVICES LLC
November 22, 1979 - July 10, 2006
TRADESTAR INVESTMENTS,INC.
June 21, 1977 - December 22, 1981
KELLY ASSOCIATES, LTD.
May 15, 1974 - July 6, 1977
ROTAN MOSLE INC.
March 29, 1974 - May 27, 1975
RAUSCHER PIERCE REFSNES, INC.
June 26, 1973 - October 27, 1978
DATAQUEST, INCORPORATED
May 17, 1967 - March 29, 1974
FIRST OF TEXAS, 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 41
Date: 11/22/1979
NYSE Allied Member ExaminationSeries 1
Date: 12/29/1959
Registered Representative ExaminationCurrent Firm
CAPITAL QUEST SECURITIES, INC.
CRD#: 10786 / SEC#: , 8-28374
Contact information
Documents
Red Flags
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