Peter 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.
Peter John Kelly SR, who also goes by Peter John Kelly, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1970. Peter had worked at 7 firms and has passed the Series 63, Series 7 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
October 8, 1991 - November 27, 2000
HIGHLANDER CAPITAL GROUP, INC.
October 19, 1982 - October 3, 1983
PENNSYLVANIA SECURITIES COMPANY
March 30, 1981 - May 8, 1982
KIDDER, PEABODY & CO. INCORPORATED
September 22, 1980 - April 6, 1981
FAHERTY & FAHERTY INC.
September 26, 1978 - October 5, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 20, 1970 - October 27, 1976
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
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: 1/15/1970
Registered Representative ExaminationCurrent Firm
HIGHLANDER CAPITAL GROUP, INC.
CRD#: 19074 / SEC#: , 8-37169
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
