Loyd A. 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.
Loyd Andrew Kelly, who also goes by Lloyd Andrew Kelly, was a registered financial professional .
Loyd is a previously registered financial professional and started their career in finance in 1957. Loyd had worked at 2 firms and has passed the PC, Series 1, Series 4, Series 12 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
July 7, 1969 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
August 20, 1957 - November 15, 2001
MORGAN STANLEY DW 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
PC
Date: 5/6/1977
AMEX Put and Call ExamSeries 1
Date: 8/5/1957
Registered Representative ExaminationSeries 12
Date: 7/24/1969
NYSE Branch Manager ExaminationSeries 40
Date: 6/19/1969
Registered Principal ExaminationCurrent firm
No current employment
Red Flags
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