Roland T. 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.
Roland Thomas Kelly, who also goes by Kelly Thomas Roland Thomas, was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 2001. Roland had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2003 - April 16, 2004
QUARTERDECK INVESTMENT PARTNERS, LLC
January 31, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
January 24, 2003 - September 19, 2012
JEFFERIES EXECUTION SERVICES, INC.
July 31, 2002 - February 19, 2008
GRIFFIN TRADING SPECIALISTS LLC
March 20, 2002 - April 16, 2004
JEFFERIES/QUARTERDECK, LLC
July 5, 2001 - July 16, 2020
JEFFERIES LLC
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
QUARTERDECK INVESTMENT PARTNERS, LLC
CRD#: 109682 / SEC#: , 8-53104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES GROUP, INC. | MEMBER | |
| JEFFERIES & COMPANY, INC. | MEMBER | 2347 |
| BROOKS, GLORIA ANNE | CHIEF COMPLIANCE OFFICER | 3026563 |
| KANOFF, CHRIS MILAN | MANAGER | 1331579 |
| KELLY, ROLAND THOMAS | SECRETARY | 4333694 |
| KUTLER, JON BRYAN | PRESIDENT AND CEO | 1380304 |
| OTAMURAKESTER, JUDITH KIM | VICE PRESIDENT | 2332578 |
| SYRJAMAKI, MAXINE STATLAND | CHIEF FIN. OFFICER | 441622 |
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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