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TK

Timothy J. Kelly

ARETE RESEARCH LLC
Dallas, TX 75208
Some features on this profile are disabled
CRD#: 4969695
TK

Professional summary

Timothy J Kelly is a registered financial professional currently at ARETE RESEARCH LLC located in Dallas, Texas.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2006. Timothy has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Timothy J Kelly'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

January 24, 2025 - Present

ARETE RESEARCH LLC

Office #1: 1309 Walmsley Ave, Dallas, TX 75208
BD
CRD#: 128496
Dallas, TX
Past

July 31, 2018 - October 2, 2018

HEIGHT ANALYTICS, LLC

RIA
CRD#: 149162
WASHINGTON, DC
Past

August 15, 2017 - October 2, 2018

HEIGHT CAPITAL MARKETS

BD
CRD#: 150659
WASHINGTON, DC
Past

June 16, 2015 - June 29, 2016

IRC SECURITIES LLC

BD
CRD#: 150022
NEW YORK, NY
Past

August 10, 2009 - August 13, 2014

ARETE RESEARCH LLC

BD
CRD#: 128496
BOSTON, MA
Past

April 7, 2006 - September 11, 2008

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
BOSTON, MA

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
Massachusetts
(2/25/2025)
RR
New York
(2/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/31/2018
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/24/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/6/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AR
ARETE RESEARCH LLC
ARETE RESEARCH LLC

CRD#: 128496 / SEC#: , 8-66145

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

Main Address
1309 Walmsley Ave, Dallas, TX 75208
Mailing Address
1309 Walmsley Ave, Dallas, TX 75208
Phone number
(617) 357-4801
Established
Delaware since 06/20/2003
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARETE RESEARCH LLPOWNER
HASSAY, LAURIE ANNFINOP5676461
MERRILL, FRANCIS ROBERT IVHEAD OF US EQUITY SALES, CCO4734216

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

ARETE RESEARCH LLC

CRD#: 128496Dallas, TX 75208

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