Thomas G. 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.
Thomas Gerard Kelly, who also goes by Thomas Kelly, Tom Kelly, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas 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
September 19, 2012 - February 28, 2017
KEMA PARTNERS LLC
April 29, 2009 - May 8, 2012
BLACKSTONE SECURITIES PARTNERS L.P.
May 9, 2008 - April 24, 2009
KEMA PARTNERS LLC
June 21, 2006 - April 17, 2008
MONTGOMERY & CO., LLC
June 22, 2001 - June 30, 2006
BANC OF AMERICA SECURITIES LLC
March 17, 2000 - June 14, 2001
ROBERTSON STEPHENS, INC.
September 18, 1997 - February 25, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
KEMA PARTNERS LLC
CRD#: 143752 / SEC#: , 8-67600
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANN, HOWARD WHEELER III | MANAGING PARTNER, CFO, FINOP | |
| CANN, PETER TAYLOR | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | 4543062 |
| CANN, MICHAEL GRANT | PARTNER |
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.
