JK
John W. Kelley
FINANCIAL LEGACY MANAGEMENT, NC.
LITTLE ROCK, AR 72211
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CRD#: 4512470
JK
Professional summary
John Wayne Kelley, CFP®, who also goes by John Kelley, is a registered financial advisor currently at FINANCIAL LEGACY MANAGEMENT, NC. located in Little Rock, Arkansas.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 2 firms .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Kelley
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.
PAYROLL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view John Wayne Kelley'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®
CFP®
Start date: 2003
Experience
Current
November 10, 2005 - Present
FINANCIAL LEGACY MANAGEMENT, NC.
Office #1: 13 Office Park Drive, Little Rock, AR 72211Office #2: 960 Joseph Drive, Conway, AR 72034RIA
CRD#: 136348
LITTLE ROCK, AR
Past
September 13, 2000 - June 30, 2005
THE ARKANSAS FINANCIAL GROUP, INC.
RIA
CRD#: 104808
LITTLE ROCK, AR
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".
FL
FINANCIAL LEGACY MANAGEMENT, NC.
FINANCIAL LEGACY MANAGEMENT, INC. | FINANCIAL LEGACY MANAGEMENT, NC.
CRD#: 136348 / SEC#: 801-131149
RIA
Registered Investment Advisory firm - (9/25/2024 Approved)Arkansas
Registered Investment Advisory firm - (11/18/2024 Terminated)Louisiana
Registered Investment Advisory firm - (11/18/2024 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arkansas(11/10/2005)
IAR
Louisiana(5/28/2013)
Exams
Current Firm
FL
FINANCIAL LEGACY MANAGEMENT, NC.
FINANCIAL LEGACY MANAGEMENT, INC. | FINANCIAL LEGACY MANAGEMENT, NC.
CRD#: 136348 / SEC#: 801-131149
RIA
Registered Investment Advisory firm - (9/25/2024 Approved)Arkansas
Registered Investment Advisory firm - (11/18/2024 Terminated)Louisiana
Registered Investment Advisory firm - (11/18/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13 Office Park Drive, Little Rock, AR 72211
Mailing Address
Phone number
(501) 224-7526
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 600 |
| AUM (Assets Under Management) | $ 135,000,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Louisiana | ERA - Withdrawn | 5/6/2013 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FINANCIAL LEGACY MANAGEMENT, NC.
CRD#: 136348Little Rock, AR 72211TRUST BUT VERIFY
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