Brian P. Kelly

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CRD#: 4440166

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.

Brian Patrick Kelly, who also goes by Brian Kelly, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Kelly

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.

1) Silver Lake Inc., Not Investment related, 17925 NW Germantown Rd, Portland, OR, USA, 97231, 100% Owner, Start Date: 01/01/2014, 1 hour per week, 0 during trading hours, Owner, Duties: Manage cash flow from contract payments. 2) Addison Avenue Investment Services. Not investment related. Support company/DBA (non-owner). Hillsboro, OR. Started:01/2021. 0 hrs per month. Financial Advisor. 3) First Tech Federal Credit Union. Investment related. Financial Institution. Hillsboro, OR. Started:01/2021. 160 hrs per month, 100 during trading hrs. Bank associate. 2. Silver Lake Inc, Not Investment-related, 17925 NW Germantown Rd, Portland, OR, USA, 97231, 100% Owner, Start Date: 01/01/2014, 1 hrs per week, 0 trading hrs per week, Pass Through Entity , Duties: Manage cash flow from contracts. 3. PRESIDENT, CENTRAL EAST PORTLAND ROTARY, 10001 NE SANDY BLVD, PORTLAND, , OREGON, 97220, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 6/15/2020, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT - LEAD MEETINGS, ORGANIZE SERVICE ACTIVITES AND RUN AND PARTICIPATE IN BOARD MEETINGS 4. GENERAL EMPLOYMENT, AMAZON, 5647 NE HUFFMAN ST, HILLSBORO, , OREGON, 97124, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 10/27/2020, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 0-5, SORTING AND ROUTING PACKAGES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 11, 2021 - August 23, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Hillsboro, OR

Past

February 16, 2021 - August 23, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

HILLSBORO, OR

Past

February 3, 2020 - January 19, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PORTLAND, OR

Past

September 21, 2001 - October 30, 2009

CLARK SECURITIES, INC.

CRD#: 43803

GREENSBORO, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/4/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/11/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/3/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/10/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2001

General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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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Firm Stability Insights

Brian P. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CLARK SECURITIES, INC.

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2021

Series 63

Date: 3/11/2020

Series 7TO

Date: 2/3/2020

SIE

Date: 1/10/2020

Series 7

Date: 9/20/2001

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

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