Michael J. 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.
Michael John Kelly, who also goes by Michael John Kelly Sr, Michael Kelly, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, Series 99TO, SIE, Series 7, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2018 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
November 18, 2015 - February 9, 2018
FIDELITY BROKERAGE SERVICES LLC
July 8, 2015 - August 26, 2015
EQUITABLE ADVISORS, LLC
June 21, 2012 - December 18, 2013
FIDELITY BROKERAGE SERVICES LLC
September 19, 2006 - February 18, 2009
FIDELITY BROKERAGE SERVICES LLC
October 10, 2005 - September 19, 2006
NATIONAL FINANCIAL SERVICES LLC
April 11, 2005 - July 15, 2005
NATIONAL FINANCIAL SERVICES LLC
July 14, 1997 - April 21, 2005
FIDELITY BROKERAGE SERVICES 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
Series 7TO
Date: 3/17/2024
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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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