Peter P. 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.
Peter Patrick Kelly was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1998. Peter had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2006 - December 31, 2006
BROWNCO, LLC
January 3, 2006 - November 16, 2016
E*TRADE SECURITIES LLC
February 22, 2002 - December 31, 2005
HARRISDIRECT LLC
July 21, 1999 - August 2, 2001
HARRISDIRECT LLC
July 17, 1998 - July 15, 1999
O'BRIEN & SHEPARD, INC.
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
BROWNCO, LLC
CRD#: 1326 / SEC#: , 8-21214
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| CONNORS, JENNIFER ANN | CHIEF COMPLIANCE OFFICER / CROP / SROP | 2222175 |
| CURCIO, MICHAEL JOHN | CHIEF EXECUTIVE OFFICER AND LLC MANAGER | 1620743 |
| LILIEN, ROBERT JARRETT | LLC MANAGER | 1337819 |
| MULRON, SHANE OSHEA SCOTTY | LLC MANAGER | 2709497 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 11 |
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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