Kellen L. Cooney

GROUND SWELL CAPITAL

Folly Beach, SC 29439

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CRD#: 4666658

Professional summary

Kellen Lee Cooney is a registered financial advisor currently at GROUND SWELL CAPITAL, LLC located in Folly Beach, South Carolina.

Kellen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Kellen has worked at 3 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kellen Lee Cooney'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®

None

Experience

Current

February 8, 2013 - Present

GROUND SWELL CAPITAL, LLC

Office #1: 105 West Huron Avenue, Folly Beach, SC 29439

RIA

CRD#: 159812

Folly Beach, SC

Past

June 23, 2005 - June 24, 2010

CITI ORDER ROUTING AND EXECUTION, LLC

CRD#: 103768

MOUNT PLEASANT, SC

Past

June 10, 2003 - June 24, 2010

AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC

CRD#: 36000

MOUNT PLEASANT, SC

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".

GROUND SWELL CAPITAL, LLC

CRD#: 159812 / SEC#: 801-73582

RIA

Registered Investment Advisory firm - (3/30/2012 Approved)

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

South Carolina
(2/8/2013)

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 65

Date: 2/7/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 7/3/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/7/2003

General Securities Representative Examination

Current Firm

GROUND SWELL CAPITAL, LLC

CRD#: 159812 / SEC#: 801-73582

RIA

Registered Investment Advisory firm - (3/30/2012 Approved)

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Contact information

Main Address

105 West Huron Avenue, Folly Beach, SC 29439

Mailing Address

Po Box 46, Folly Beach, SC 29439

Phone number

(843) 588-5169

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

GROUNDSWELL PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 1,144,481,981

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

Kellen L. Cooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kellen Lee Cooney's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITI ORDER ROUTING AND EXECUTION, LLC

AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC

Primary Firm SEC Registration

GROUND SWELL CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2013

Series 63

Date: 6/14/2003

Series 55

Date: 7/3/2003

Series 7

Date: 6/7/2003

Current Firm

GROUND SWELL CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GROUND SWELL CAPITAL, LLC

TRUST BUT VERIFY

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