Thomas M. 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.
Thomas Morgan, Estate Of Kelly, who also goes by Thomas Morgan Kelly, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 5 firms and has passed the Series 63, Series 1 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
January 17, 1996 - December 10, 2015
DHK FINANCIAL ADVISORS INC
December 28, 1981 - December 31, 1995
DFA SECURITIES LLC
February 12, 1981 - June 28, 1988
PURCELL GRAHAM INCORPORATED
February 16, 1978 - January 4, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
May 13, 1971 - March 1, 1977
H.C.WAINWRIGHT & CO., LLC
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: 5/6/1971
Registered Representative ExaminationSeries 40
Date: 1/29/1976
Registered Principal ExaminationCurrent Firm
DHK FINANCIAL ADVISORS INC
CRD#: 106126 / SEC#: 801-44524
Contact information
Regulatory assets under management
| Total Number of Accounts | 187 |
| AUM (Assets Under Management) | $ 1,677,398,984 |
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.
