Patrick 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.
Patrick Michael Kelly was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1996. Patrick had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2001 - May 6, 2002
THE SEIDLER COMPANIES INCORPORATED
May 5, 2000 - August 21, 2001
ROTH CAPITAL PARTNERS, LLC
November 16, 1999 - May 1, 2000
THE SEIDLER COMPANIES INCORPORATED
July 16, 1996 - December 3, 1999
ROTH CAPITAL PARTNERS, 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
Current Firm
THE SEIDLER COMPANIES INCORPORATED
CRD#: 3911 / SEC#: , 8-14662
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEIDLER HOLDINGS INCORPORATED | PARENT COMPANY | |
| BECK, PAUL ROBERT | PRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER & DIRECTOR | 1288090 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
| Bond | 1 |
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.
