John 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.
John Michael Kelly was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - December 15, 2014
VANTAGE POINT WEALTH MANAGEMENT
March 18, 2013 - June 12, 2014
LPL FINANCIAL LLC
March 4, 2013 - June 12, 2014
LPL FINANCIAL LLC
October 22, 2012 - March 5, 2013
LEGEND ADVISORY, LLC
October 17, 2012 - March 5, 2013
LEGEND EQUITIES CORPORATION
May 26, 2010 - December 15, 2011
VALIC FINANCIAL ADVISORS, INC.
March 3, 2010 - December 15, 2011
VALIC FINANCIAL ADVISORS, INC.
January 2, 2009 - May 27, 2009
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 22, 2006 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
March 16, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
March 16, 2004 - January 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
April 3, 2002 - November 13, 2003
E*TRADE SECURITIES LLC
June 23, 2000 - December 11, 2001
MORGAN STANLEY DW INC.
May 21, 1998 - July 27, 2000
UBS FINANCIAL SERVICES INC.
December 19, 1996 - June 2, 1998
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
VANTAGE POINT WEALTH MANAGEMENT
CRD#: 167886 / SEC#: 801-99343
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
VANTAGE POINT WEALTH MANAGEMENT
CRD#: 167886 / SEC#: 801-99343
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,361 |
| AUM (Assets Under Management) | $ 277,355,003 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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