Luciann Kelley
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.
Luciann Kelley was a registered financial professional .
Luciann is a previously registered financial professional and started their career in finance in 2000. Luciann had worked at 10 firms and has passed the Series 66, Series 65, Series 63, 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
June 25, 2012 - July 18, 2012
FIVE STAR INVESTMENT SERVICES, INC.
October 24, 2011 - July 2, 2012
LPL FINANCIAL LLC
October 17, 2011 - July 2, 2012
LPL FINANCIAL LLC
March 2, 2011 - October 13, 2011
NEW ENGLAND SECURITIES
January 18, 2011 - October 13, 2011
NEW ENGLAND SECURITIES
January 23, 2008 - April 30, 2010
HSBC SECURITIES (USA) INC.
January 17, 2007 - December 31, 2007
HSBC SECURITIES (USA) INC.
January 17, 2007 - April 30, 2010
HSBC SECURITIES (USA) INC.
May 25, 2006 - November 20, 2006
M&T SECURITIES, INC.
April 27, 2005 - January 26, 2006
FIDELITY PERSONAL TRUST COMPANY, FSB
December 14, 2004 - January 26, 2006
FIDELITY BROKERAGE SERVICES LLC
October 14, 2004 - January 26, 2006
STRATEGIC ADVISERS LLC
March 24, 2003 - January 3, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
May 23, 2000 - July 5, 2002
CITIGROUP GLOBAL MARKETS 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
FIVE STAR INVESTMENT SERVICES, INC.
CRD#: 101840 / SEC#: , 8-52108
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL INSTITUTIONS, INC | SHAREHOLDER | |
| AHRENS, PETER WILLIAM | PRESIDENT, FIRM PRINCIPAL | 1910579 |
| ANDERSON, KARL V | DIRECTOR | |
| BIRMINGHAM, MARTIN K | DIRECTOR | |
| CUTRONA, ANTHONY G | DIRECTOR | 3260742 |
| GEORGE, KENNETH RONALD | CHIEF FINANCIAL OFFICER | 2643369 |
| GROVER, MICHAEL DAVID | TREASURER | 5885730 |
| HARRISON, RICHARD J | DIRECTOR | 6069738 |
| MCKENNA, KEVIN JOHN | VP/ CCO/FIRM PRINCIPAL | 2032697 |
| WINN, KENNETH V | DIRECTOR | 6069957 |
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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