JK
John C. Kelly
PTS BROKERAGE
Pitman, NJ
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CRD#: 5030214
JK
Professional summary
John C Kelly is a registered financial advisor currently at PTS BROKERAGE, LLC located in Pitman, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. John has worked at 1 firm and has passed the Series 63, Series 65, SIE and Series 6 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.
1) John C Kelly - 414 Pitman Avenue, Pitman, NJ 08071. Fixed Life and Health Insurance Sales. Position: Independent Contractor. Not Investment Related. Hours/Mo 12 and 6 during trading. Start Date 02/01/16 2) John C Kelly - 414 Pitman Avenue, Pitman, NJ 08071. Referral Agent. Position: Independent Contractor. Not Investment Related. Hours/Mo 1 and 1 during trading. Start Date 01/2021
CRS (Client Relationship Summary) - RIA
Click below to view John C Kelly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John C 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®
NoneExperience
Current
May 22, 2006 - Present
PTS BROKERAGE, LLC
RIA
BD
CRD#: 119307
Pitman, NJ
Current
December 12, 2005 - Present
PTS BROKERAGE, LLC
RIA
BD
CRD#: 119307
Pitman, NJ
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.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
Florida(8/18/2014)
IAR
Florida(4/6/2020)
RR
New Jersey(12/12/2005)
IAR
New Jersey(5/22/2006)
RR
Pennsylvania(11/27/2006)
IAR
Pennsylvania(2/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PTS BROKERAGE, LLC
PROFESSIONAL TRADING SERVICES BROKERAGE, LLC | PTS BROKERAGE, LLC
CRD#: 119307 / SEC#: , 8-65173
Delaware
Registered Investment Advisory firm - SEC (2/22/2024 Approved)Florida
Registered Investment Advisory firm - SEC (11/30/2011 Approved)Maryland
Registered Investment Advisory firm - SEC (4/29/2024 Approved)New Jersey
Registered Investment Advisory firm - SEC (6/25/2004 Approved)New York
Registered Investment Advisory firm - SEC (9/26/2011 Approved)North Carolina
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/25/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
125 Gaither Drive 125 C Gaither Dr, Mt. Laurel, NJ 08054
Mailing Address
125 Gaither Drive Suite C, Mount Laurel, NJ 08054-1706
Phone number
(856) 802-9400
Established
New Jersey since 10/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
20
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 106,900,000 |
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.
