LK
Lawrence J. Kelly
INDEPENDENT FINANCIAL GROUP
Doylestown, PA 18901
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CRD#: 267125
LK
Professional summary
Lawrence Joseph Kelly, who also goes by Larry Kelly, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Doylestown, Pennsylvania.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Lawrence has worked at 10 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Larry Kelly
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.
(1) KELLY FINANCIAL SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/1972 ADDRESS: 350 South Main Street, Suite 110, Doylestown PA 18901, United States DESCRIPTION: DBA NAME FOR MARKETING PURPOSES. (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/1971 ADDRESS: 350 South Main Street, Suite 110, Doylestown PA 18901, United States DESCRIPTION: SELL AND SERVICE LIFE AND DISABILITY INSURANCE TO MY CLIENTS. (3) KELLY SANDCASTLES LLC POSITION: OWNER/ MANAGING MEMBER NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/07/2016 ADDRESS: PO Box 743, Gwynedd Valley PA 19437, United States DESCRIPTION: RENTAL PROPERTY. (4) LARAMI, LP POSITION: PARTNER NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2005 ADDRESS: 350 South Main Street, Suite 110, Doylestown PA 18901, United States DESCRIPTION: PROPERTY MANAGER.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Joseph Kelly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Joseph Kelly's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 350 South Main Street Suite 110, Doylestown, PA 18901RIA
BD
CRD#: 7717
Doylestown, PA
Current
March 20, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 350 South Main Street Suite 110, Doylestown, PA 18901RIA
BD
CRD#: 7717
Doylestown, PA
Past
March 9, 2015 - January 3, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DOYLESTOWN, PA
Past
March 6, 2015 - January 3, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DOYLESTOWN, PA
Past
May 16, 2014 - July 15, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
DOYLESTOWN, PA
Past
May 16, 2014 - July 15, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
DOYLESTOWN, PA
Past
January 3, 2012 - December 31, 2013
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
DOYLESTOWN, PA
Past
January 3, 2012 - December 31, 2013
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
DOYLESTOWN, PA
Past
November 15, 2011 - December 31, 2011
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
DOYLESTOWN, PA
Past
November 15, 2011 - December 31, 2011
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
DOYLESTOWN, PA
Past
November 9, 2006 - November 9, 2011
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
DOYLESTOWN, PA
Past
January 4, 2001 - November 9, 2011
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
DOYLESTOWN, PA
Past
February 15, 1990 - December 31, 2000
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
September 13, 1971 - December 31, 1989
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
September 13, 1971 - February 5, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(3/21/2023)
RR
New Jersey(3/29/2023)
IAR
Pennsylvania(3/21/2023)
RR
Pennsylvania(3/27/2023)
Exams
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/7/1971
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
