Lawrence W. Kelly

Some features on this profile are disabled

CRD#: 4570940

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.

Lawrence W. Kelly was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1985. Lawrence had worked at 1 firm .

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.

MR. KELLY IS A MANAGER OF SUNRISE CAPITAL INVESTORS, LLC, LOCATED AT 199 SOUTH LOS ROBLES AVENUE., SUITE 850, PASADENA, CA 91107. THIS ENTITY PREVIOUSLY INVESTED IN OIL AND GAS EXPLORATION INVESTMENTS AND IS NOW IN THE PROCESS OF WINDING DOWN. MR. KELLY HAS BEEN INVOLVED WITH THIS ENTITY SINCE SEPTEMBER, 2005. MR. KELLY SPENDS LESS THAN 2 HOURS PER MONTH OVERSEEING THE WINDING DOWN OF OPERATIONS. SUCH HOURS ARE NOT DURING TRADING HOURS.

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 23, 2007 - December 8, 2022

LK&A INVESTMENT COUNSEL

RIA

CRD#: 106635

PASADENA, CA

Past

June 14, 1985 - December 31, 2002

LK&A INVESTMENT COUNSEL

RIA

CRD#: 106635

PASADENA, CA

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".

LK&A INVESTMENT COUNSEL

LAWRENCE W. KELLY & ASSOCIATES, INC | LK&A INVESTMENT COUNSEL | LAWRENCE W. KELLY & ASSOCIATES, INC.

CRD#: 106635 / SEC#: 801-24322

RIA

Registered Investment Advisory firm - (8/16/1985 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

Current Firm

LK&A INVESTMENT COUNSEL

LAWRENCE W. KELLY & ASSOCIATES, INC | LK&A INVESTMENT COUNSEL | LAWRENCE W. KELLY & ASSOCIATES, INC.

CRD#: 106635 / SEC#: 801-24322

RIA

Registered Investment Advisory firm - (8/16/1985 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

199 South Los Robles Avenue Suite 850, Pasadena, CA 91101-2461

Mailing Address

Phone number

(626) 449-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 530,295,307

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lawrence W. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LK&A INVESTMENT COUNSEL

LK&A INVESTMENT COUNSEL

Primary Firm SEC Registration

LK&A INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Current Firm

LK&A INVESTMENT COUNSEL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LK&A INVESTMENT COUNSEL

TRUST BUT VERIFY

Similar Advisors