Patrick J. Kelly

FUTU CLEARING

Dallas, TX 75251

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CRD#: 3126322

Professional summary

Patrick James Kelly is a registered financial professional currently at FUTU CLEARING INC located in Dallas, Texas.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1998. Patrick has worked at 16 firms and has passed the Series 65, Series 63, Series 3, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 6, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick James 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

September 27, 2021 - Present

FUTU CLEARING INC

Office #1: 12750 Merit Drive Suite 475, Dallas, TX 75251

CRD#: 298769

Dallas, TX

Past

May 3, 2021 - October 20, 2021

TZERO SECURITIES, LLC

CRD#: 123421

JERSEY CITY, NJ

Past

April 30, 2021 - October 20, 2021

SPEEDROUTE LLC

CRD#: 104138

JERSEY CITY, NJ

Past

May 30, 2018 - April 9, 2021

VELOX CLEARING LLC

CRD#: 290215

Anaheim, CA

Past

February 8, 2017 - July 31, 2017

VELOX SECURITIES, INC.

CRD#: 285402

ANAHEIM, CA

Past

July 17, 2009 - January 19, 2017

ELECTRONIC TRANSACTION CLEARING, INC.

CRD#: 146122

LOS ANGELES, CA

Past

January 16, 2009 - June 12, 2009

STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED

CRD#: 5133

CULVER CITY, CA

Past

March 26, 2007 - June 5, 2008

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEWPORT BEACH, CA

Past

February 10, 2006 - August 9, 2006

PRIVATE EQUITY SECURITIES, INC.

CRD#: 136817

IRVINE, CA

Past

December 8, 2005 - March 20, 2007

AIS FINANCIAL, INC.

CRD#: 41462

IRVINE, CA

Past

July 28, 2004 - December 8, 2005

FINANCE 500, INC.

CRD#: 12981

IRVINE, CA

Past

March 11, 2004 - June 28, 2004

COMPUTER CLEARING SERVICES INC

CRD#: 20776

GLENDALE, CA

Past

February 25, 2004 - March 11, 2004

PRECISION SECURITIES, LLC

CRD#: 103976

DEL MAR, CA

Past

September 6, 2000 - February 23, 2004

NATIONAL CLEARING CORP.

CRD#: 14343

SHERMAN OAKS, CA

Past

May 1, 2000 - September 15, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 20, 1998 - October 5, 1999

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(9/27/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/31/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/2/2024

National Commodity Futures Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/24/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/6/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/10/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 4/26/2022

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/19/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/15/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FUTU CLEARING INC

CRD#: 298769 / SEC#: , 8-70215

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Mailing Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Phone number

(972) 665-6903

Established

Delaware since 08/13/2018

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FUTU US INC	OWNER
DU, SHUANG	HEAD OF US OPERATIONS	5005050
KELLY, PATRICK JAMES	CHIEF EXECUTIVE OFFICER	3126322
SHARMA, VICKRAMJIT	CHIEF LEGAL OFFICER	7186502
SHEN, QIUFANG	HEAD OF FINANCE	3158926
STIFELMAN, GLEN ROBERT	CHIEF COMPLIANCE OFFICER	1699013

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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Advisor Monitoring

Firm Stability Insights

Patrick J. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick James Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

TZERO SECURITIES, LLC

SPEEDROUTE LLC

VELOX CLEARING LLC

VELOX SECURITIES, INC.

ELECTRONIC TRANSACTION CLEARING, INC.

STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED

NEWPORT COAST SECURITIES, INC.

PRIVATE EQUITY SECURITIES, INC.

AIS FINANCIAL, INC.

FINANCE 500, INC.

COMPUTER CLEARING SERVICES INC

PRECISION SECURITIES, LLC

NATIONAL CLEARING CORP.

LPL FINANCIAL LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2000

Series 63

Date: 10/6/1998

Series 3

Date: 12/2/2024

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/24/2000

Series 7

Date: 7/6/2000

Series 6

Date: 10/10/1998

Series 27

Date: 4/26/2022

Series 53

Date: 10/19/2001

Series 4

Date: 5/15/2001

Series 24

Date: 2/26/2001

FINRA

Current Firm

FUTU CLEARING INC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FUTU CLEARING INC

TRUST BUT VERIFY

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