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MK

Michael D. Kelly

RETIREONE INVESTMENT SERVICES
Louisville, KY 40202
Some features on this profile are disabled
CRD#: 4875880
MK

Professional summary

Michael David Kelly, who also goes by Michael Kelly, is a registered financial professional currently at RETIREONE INVESTMENT SERVICES, LLC located in Louisville, Kentucky.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael David Kelly's CRS (Customer Relationship Summary).
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

August 15, 2024 - Present

RETIREONE INVESTMENT SERVICES, LLC

Office #1: 222 South 1st Street, Suite 600, Louisville, KY 40202
BD
CRD#: 269923
Louisville, KY
Past

September 9, 2022 - December 11, 2023

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

June 17, 2015 - August 29, 2022

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
Shelton, CT
Past

January 15, 2010 - March 18, 2014

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

February 3, 2005 - July 16, 2008

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/15/2024)
RR
Connecticut
(8/15/2024)
RR
Delaware
(8/15/2024)
RR
Florida
(8/15/2024)
RR
Georgia
(8/15/2024)
RR
Maine
(8/15/2024)
RR
Maryland
(8/15/2024)
RR
Massachusetts
(8/15/2024)
RR
Mississippi
(8/15/2024)
RR
New Hampshire
(8/15/2024)
RR
New Jersey
(8/15/2024)
RR
New York
(8/15/2024)
RR
North Carolina
(8/15/2024)
RR
Pennsylvania
(8/15/2024)
RR
Rhode Island
(8/15/2024)
RR
South Carolina
(8/15/2024)
RR
Tennessee
(8/15/2024)
RR
Vermont
(8/15/2024)
RR
Virginia
(8/15/2024)
RR
West Virginia
(8/15/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/24/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/9/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/14/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/2/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RETIREONE INVESTMENT SERVICES, LLC
EF LEGACY SECURITIES, LLC | RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923 / SEC#: , 8-69640

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 South 1st Street, Suite 600, Louisville, KY 40202
Mailing Address
222 South 1st Street, Suite 600, Louisville, KY 40202
Phone number
(877) 575-2742
Established
Delaware since 05/05/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RETIREONE, INC.OWNER
GILMAN, ROBERT CRAIGFINOP, PFO1738412
GRAY, LEVEN RAINEYCHIEF COMPLIANCE OFFICER707493
MERCIER, EDWARD JAMESCHIEF EXECUTIVE OFFICER1370339

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.

Company Information

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923Louisville, KY 40202

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