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JK

James H. Kelly

FRANKLIN DISTRIBUTORS
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 5175856
JK

Professional summary

James Henry Kelly III, CFA, who also goes by James Henry Kelly, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.

James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Henry 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 James Henry Kelly III'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®
CFA

Chartered Financial Analyst

Experience

Current

February 7, 2024 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902
BD
CRD#: 109064
Stamford, CT
Past

June 7, 2016 - October 9, 2023

NATIXIS ADVISORS, LLC

RIA
CRD#: 106800
BOSTON, MA
Past

June 3, 2016 - October 9, 2023

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

April 3, 2007 - May 16, 2016

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
BOSTON, MA
Past

December 21, 2006 - May 16, 2016

OPPENHEIMER & CO. INC.

BD
CRD#: 249
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
Alabama
(2/7/2024)
RR
Alaska
(2/7/2024)
RR
Arizona
(2/7/2024)
RR
Arkansas
(2/7/2024)
RR
California
(2/7/2024)
RR
Colorado
(2/7/2024)
RR
Connecticut
(2/7/2024)
RR
Delaware
(2/7/2024)
RR
District of Columbia
(2/7/2024)
RR
Florida
(2/7/2024)
RR
Georgia
(2/7/2024)
RR
Hawaii
(2/7/2024)
RR
Idaho
(2/7/2024)
RR
Illinois
(2/7/2024)
RR
Indiana
(2/7/2024)
RR
Iowa
(2/7/2024)
RR
Kansas
(2/7/2024)
RR
Kentucky
(2/7/2024)
RR
Louisiana
(2/7/2024)
RR
Maine
(2/7/2024)
RR
Maryland
(2/7/2024)
RR
Massachusetts
(2/7/2024)
RR
Michigan
(2/7/2024)
RR
Minnesota
(2/7/2024)
RR
Mississippi
(2/7/2024)
RR
Missouri
(2/7/2024)
RR
Montana
(2/7/2024)
RR
Nebraska
(2/7/2024)
RR
Nevada
(2/7/2024)
RR
New Hampshire
(2/7/2024)
RR
New Jersey
(2/7/2024)
RR
New Mexico
(2/7/2024)
RR
New York
(2/7/2024)
RR
North Carolina
(2/7/2024)
RR
North Dakota
(2/7/2024)
RR
Ohio
(2/7/2024)
RR
Oklahoma
(2/7/2024)
RR
Oregon
(2/7/2024)
RR
Pennsylvania
(2/7/2024)
RR
Rhode Island
(2/7/2024)
RR
South Carolina
(2/7/2024)
RR
South Dakota
(2/7/2024)
RR
Tennessee
(2/7/2024)
RR
Texas
(2/7/2024)
RR
Utah
(2/7/2024)
RR
Vermont
(2/7/2024)
RR
Virginia
(2/7/2024)
RR
Washington
(2/7/2024)
RR
West Virginia
(2/7/2024)
RR
Wisconsin
(2/7/2024)
RR
Wyoming
(2/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/2/2007
Uniform Combined 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: 12/20/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

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

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# 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#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064Stamford, CT 06902

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