Kelly C. Paola

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CRD#: 5145570

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kelly C Paola, who also goes by Kelly C Jackson, was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 2010. Kelly had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kelly C Jackson

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. NAME OF OTHER BUSINESS: VICUS CAPITAL INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISER; START DATE: 11/2020; POSITION/TITLE/RELATIONSHIP: ADMIN / ACCESS PERSON; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: SUPPORT IAR WITH SERVICING ADVISORY CLIENTS; 2. NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 12/2017; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY PUBLIC SERVICES; 3. NAME OF OTHER BUSINESS: ELSMERE PRESBYTERIAN CHURCH; INVESTMENT RELATED: NO; ADDRESS: 606 NEW ROAD, WILMINGTON, DE 19805; NATURE OF BUSINESS: CHURCH / RELIGIOUS; START DATE: 01/2010; POSITION/TITLE/RELATIONSHIP: CHURCH ELDER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: VOTE ON OPERATIONAL DECISIONS OF THE CHURCH; 4. NAME OF OTHER BUSINESS: DEFRATE & PAAVOLA, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/2020; POSITION/TITLE/RELATIONSHIP: ADMIN; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE WORK FOR ADVISORS; 5. NAME OF OTHER BUSINESS: IT'S PEARL TIME DBA PEARL GIRL KELLY; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: ONLINE JEWELRY SALES; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONSULTANT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: ONLINE JEWELRY SALES;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 9, 2020 - August 10, 2023

VICUS CAPITAL, INC.

RIA

CRD#: 116021

New York, NY

Past

December 1, 2020 - July 28, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NEW YORK, NY

Past

February 26, 2016 - September 25, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREENVILLE, DE

Past

February 26, 2016 - September 25, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREENVILLE, DE

Past

October 10, 2011 - March 7, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GREENVILLE, DE

Past

July 25, 2011 - March 7, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GREENVILLE, DE

Past

August 9, 2010 - August 4, 2011

MORGAN STANLEY

CRD#: 149777

WILMINGTON, DE

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".

VICUS CAPITAL, INC.

PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK

CRD#: 116021 / SEC#: 801-60628

RIA

Registered Investment Advisory firm - (10/5/2001 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/8/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/5/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2010

General Securities Representative Examination

Current Firm

VICUS CAPITAL, INC.

PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK

CRD#: 116021 / SEC#: 801-60628

RIA

Registered Investment Advisory firm - (10/5/2001 Approved)

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Contact information

Main Address

476 Rolling Ridge Drive Suite 315, State College, PA 16801

Mailing Address

Phone number

(855) 558-4287

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VICUS CAPITAL ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	9,058
AUM (Assets Under Management)	$ 2,574,468,218

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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Advisor Monitoring

Firm Stability Insights

Kelly C. Paola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

Primary Firm SEC Registration

VICUS CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2011

Series 63

Date: 7/5/2011

SIE

Date: 10/1/2018

Series 7

Date: 8/7/2010

Current Firm

VICUS CAPITAL, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VICUS CAPITAL, INC.

TRUST BUT VERIFY

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