Sean M. Kelly

KELLY FINANCIAL GROUP LLC

Encinitas, CA 92024

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CRD#: 5043096

Professional summary

Sean Michael Kelly, CFP®, who also goes by Sean Kelly, is a registered financial advisor currently at KELLY FINANCIAL GROUP LLC located in Encinitas, California.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Sean has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean 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.

Sean Kelly is the sole member and investment adviser representative for Kelly Financial Group (KFG). Sean also is an Enrolled Agent and prepares tax returns for clients as a separate business with a separate client engagement at the same office in Encinitas, CA. He has been doing this since Jan, 2020 and dedicates 15-20 hours/week during Feb-Apr and about 5 hours/week outside of those months.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Michael 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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

May 11, 2016 - Present

KELLY FINANCIAL GROUP LLC

Office #1: 332 Encinitas Blvd Suite 100, Encinitas, CA 92024

RIA

CRD#: 282172

Encinitas, CA

Past

March 20, 2009 - January 2, 2019

AIRGEAD CLANN LLC

RIA

CRD#: 133578

THOUSAND OAKS, CA

Past

November 2, 2005 - March 28, 2008

WAMU INVESTMENTS, INC.

CRD#: 599

RANCHO SANTA FE, CA

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

California
(5/11/2016)

IAR

Texas
(4/8/2021)

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: 3/19/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/1/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KELLY FINANCIAL GROUP LLC

CRD#: 282172 / SEC#:

California

Registered Investment Advisory firm - (5/11/2016 Approved)

Texas

Registered Investment Advisory firm - (3/29/2021 Conditional Restricted)

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Contact information

Main Address

332 Encinitas Blvd Suite 100, Encinitas, CA 92024

Mailing Address

Phone number

(760) 452-8002

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	291
AUM (Assets Under Management)	$ 84,165,721

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

Sean M. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KELLY FINANCIAL GROUP LLC

AIRGEAD CLANN LLC

WAMU INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/2009

Series 63

Date: 11/2/2005

Series 6

Date: 11/1/2005

Current Firm

KELLY FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KELLY FINANCIAL GROUP LLC

TRUST BUT VERIFY

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