Eric M. Kellar
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.
Eric Michael Kellar was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2022 - August 2, 2023
INTERNATIONAL ASSETS ADVISORY, LLC
November 4, 2020 - October 21, 2021
COLORADO FINANCIAL SERVICE CORPORATION
October 20, 2020 - October 30, 2020
BV SECURITIES, LLC
October 11, 2018 - December 3, 2018
LEADER CAPITAL CORP.
October 11, 2018 - December 3, 2018
LEADER CAPITAL CORP.
January 5, 2017 - July 26, 2018
FORESIDE FUND SERVICES, LLC
February 22, 2011 - December 31, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
August 23, 2010 - August 9, 2018
WELLESLEY ASSET MANAGEMENT, INC.
February 2, 2004 - October 19, 2009
MORNINGSTAR INVESTMENT SERVICES LLC
January 22, 2004 - October 19, 2009
MORNINGSTAR INVESTMENT SERVICES LLC
August 22, 2001 - October 8, 2003
MANULIFE INVESTMENT MANAGEMENT (US) LLC
August 9, 2001 - September 9, 2003
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
February 8, 1999 - September 15, 2003
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 1, 1998 - February 24, 1999
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
