Lewis M. Kelley
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.
Lewis Milton Kelley Jr, who also goes by Lewis Milton Kelley Jr, Mike Kelley Jr, Lewis Milton Kelley, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1997. Lewis had worked at 6 firms and has passed the Series 63, SIE, Series 7 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 3, 2017 - December 31, 2021
THE LEADERS GROUP, INC.
January 29, 2016 - January 5, 2017
VOYA FINANCIAL ADVISORS, INC.
January 2, 2014 - December 31, 2015
THE LEADERS GROUP, INC.
September 30, 2011 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
August 3, 2009 - September 29, 2011
FOOTHILL SECURITIES, INC.
December 2, 1998 - August 3, 2009
CUE FINANCIAL GROUP, INC.
May 13, 1998 - November 11, 1998
CAPITAL WEST INVESTMENT GROUP, INC.
April 16, 1997 - September 2, 1997
DELTA LIFE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
