Kyle D. Kelly

TARRAGON CAPITAL

Chattanooga, TN 37405

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CRD#: 2921478

Professional summary

Kyle Douglas Kelly is a registered financial advisor currently at TARRAGON CAPITAL, LLC located in Chattanooga, Tennessee.

Kyle is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Kyle has worked at 7 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kyle Douglas Kelly'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®

None

Experience

Current

May 7, 2012 - Present

TARRAGON CAPITAL, LLC

Office #1: 345 Frazier Avenue Suite 210, Chattanooga, TN 37405

RIA

CRD#: 161152

Chattanooga, TN

Past

September 15, 2009 - February 21, 2012

HHM WEALTH ADVISORS, LLC

RIA

CRD#: 150843

CHATTANOOGA, TN

Past

July 14, 2006 - December 16, 2009

HHM WEALTH ADVISORS, LLC

RIA

CRD#: 114631

CHATTANOOGA, TN

Past

June 30, 2006 - July 30, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

December 20, 2001 - July 3, 2006

TRIAD ADVISORS LLC

CRD#: 25803

CHATTANOOGA, TN

Past

August 14, 2000 - December 7, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 22, 1997 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Tennessee
(5/7/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/13/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1997

General Securities Representative Examination

Current Firm

TARRAGON CAPITAL, LLC

TARRAGON CAPITAL | TARRAGON CAPITAL, LLC | TARRAGON CAPITAL CORPORATION, LLC

CRD#: 161152 / SEC#:

Tennessee

Registered Investment Advisory firm - (4/25/2012 Approved)

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Contact information

Main Address

345 Frazier Avenue Suite 210, Chattanooga, TN 37405

Mailing Address

Phone number

(423) 400-8072

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 14,090,774

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.

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Kyle D. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kyle Douglas Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

HHM WEALTH ADVISORS, LLC

HHM WEALTH ADVISORS, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

TRIAD ADVISORS LLC

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2006

Series 65

Date: 12/17/1999

Series 63

Date: 10/3/1997

Series 7

Date: 9/17/1997

Current Firm

TARRAGON CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TARRAGON CAPITAL, LLC

TRUST BUT VERIFY

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