Chad D. Kelly
Professional summary
Chad David Kelly was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chad is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Chad had worked at 5 firms, which includes PETERSEN INVESTMENTS INC., WELLS FARGO CLEARING SERVICES LLC, MORGAN STANLEY DW INC., SUNPOINT SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2010 - October 31, 2011
PETERSEN INVESTMENTS, INC.
December 20, 2006 - August 18, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 31, 2006 - August 18, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2000 - June 2, 2006
MORGAN STANLEY DW INC.
March 30, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
April 9, 1996 - October 16, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
PETERSEN INVESTMENTS, INC.
CRD#: 38537 / SEC#: , 8-48306
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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