Sean P. Kelly

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CRD#: 2707543

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.

Sean Patrick Kelly, who also goes by Sean P Kelly, Sean Kelly, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1996. Sean had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean P Kelly | Sean 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.

NEWCLEUS - DIRECTOR OF QUALIFIED PLANS - 40 Hours a week

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 10, 2022 - June 29, 2023

ALDEN CAPITAL

RIA

CRD#: 293551

Newtown, PA

Past

February 17, 2022 - June 29, 2023

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

WAYNE, PA

Past

September 5, 2018 - March 9, 2021

GOLDMAN SACHS CUSTODY SOLUTIONS

CRD#: 48015

Doylestown, PA

Past

September 2, 2016 - August 20, 2018

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

December 16, 2014 - July 15, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

New York, NY

Past

November 12, 2010 - December 31, 2014

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK, NY

Past

January 12, 2009 - October 18, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

WOOLWICH TOWNSHIP, NJ

Past

June 4, 2008 - January 12, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

WOOLWICH TOWNSHIP, NJ

Past

June 4, 2008 - October 18, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WOOLWICH TOWNSHIP, NJ

Past

February 28, 2008 - June 4, 2008

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

WOODBURY, NJ

Past

February 28, 2008 - June 4, 2008

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

WOODBURY, NJ

Past

July 26, 2006 - July 5, 2007

BCG SECURITIES, INC.

RIA

CRD#: 70

CHERRY HILL, NJ

Past

July 26, 2006 - July 5, 2007

BCG SECURITIES, INC.

CRD#: 70

CHERRY HILL, NJ

Past

January 10, 2003 - August 22, 2005

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

January 10, 2003 - August 22, 2005

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

January 22, 2002 - December 16, 2002

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

June 9, 1999 - December 19, 2001

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

November 26, 1997 - April 1, 1999

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

February 28, 1996 - May 22, 1996

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

ALDEN CAPITAL

CRD#: 293551 / SEC#: 801-116941

RIA

Registered Investment Advisory firm - (7/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/10/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/25/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/27/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2006

General Securities Principal Examination

Current Firm

ALDEN CAPITAL

CRD#: 293551 / SEC#: 801-116941

RIA

Registered Investment Advisory firm - (7/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/10/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/25/2019 Terminated)

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Contact information

Main Address

37 West Ave Suite 301, Wayne, PA 19087

Mailing Address

37 West Ave Suite 301, Wayne, PA 19087

Phone number

(215) 572-8700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/7/2025)

Regulatory assets under management

Total Number of Accounts	3,147
AUM (Assets Under Management)	$ 1,444,147,688

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.

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Advisor Monitoring

Firm Stability Insights

Sean P. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J. ALDEN ASSOCIATES, INC.

GOLDMAN SACHS CUSTODY SOLUTIONS

CUNA BROKERAGE SERVICES, INC.

FORESIDE FUND SERVICES, LLC

ALPS DISTRIBUTORS, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

BCG SECURITIES, INC.

BCG SECURITIES, INC.

CURIAN CAPITAL, LLC

INVESTMENT CENTERS OF AMERICA, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

OSAIC FS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ALDEN CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2001

Series 63

Date: 3/4/1996

SIE

Date: 10/1/2018

Series 7

Date: 3/16/1999

Series 6

Date: 2/27/1996

Series 24

Date: 12/13/2006

Current Firm

ALDEN CAPITAL

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALDEN CAPITAL

TRUST BUT VERIFY

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