JK
John E. Kelley
CAPITOL SECURITIES MANAGEMENT
Worcester, MA 01608
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CRD#: 2889795
JK
Professional summary
John Edward Kelley JR, who also goes by John E Kelley, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Worcester, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John E Kelley
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.
Name of Business: Sock Sales
Investment-related: No
Address:
Nature of the other business: Sell Socks
Position, title, or relationship with the other business: No Title
Start date: 4/13/19
Approx # of hours/month you devote to the other business: 12-24 hrs weekends
Approx #of hours/month you devote to the other business during securities trading hours: 0
Describe your duties relating to the other business: Sell socks
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CRS (Client Relationship Summary) - RIA
Click below to view John Edward Kelley JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Edward Kelley JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 10, 2010 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 184 Main Street, Worcester, MA 01608RIA
BD
CRD#: 14169
Worcester, MA
Current
March 14, 2005 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 184 Main Street, Worcester, MA 01608RIA
BD
CRD#: 14169
Worcester, MA
Past
September 26, 2001 - May 20, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 23, 2000 - May 21, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 5, 1999 - October 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 30, 1998 - January 5, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 23, 1998 - February 26, 1998
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
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".
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/5/2009)
RR
California(12/17/2010)
RR
Florida(3/29/2005)
RR
Massachusetts(3/14/2005)
IAR
Massachusetts(2/10/2010)
RR
New Hampshire(3/14/2005)
RR
New Jersey(12/23/2014)
RR
New York(3/14/2005)
RR
Rhode Island(3/14/2005)
IAR
Rhode Island(11/25/2013)
RR
Tennessee(9/20/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Phone number
(804) 612-9700
Established
Virginia since 03/22/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
170
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Worcester, MA 01608TRUST BUT VERIFY
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