Karl J. Kelly

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CRD#: 5349310

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.

Karl John Kelly was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 2007. Karl had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

January 24, 2011 - September 30, 2021

SIGNAL SECURITIES, INC.

RIA

CRD#: 15916

KELLER, TX

Past

January 24, 2011 - September 30, 2021

SIGNAL SECURITIES, INC.

CRD#: 15916

KELLER, TX

Past

September 12, 2007 - January 6, 2011

EDWARD JONES

RIA

CRD#: 250

COLLEYVILLE, TX

Past

August 24, 2007 - January 6, 2011

EDWARD JONES

CRD#: 250

COLLEYVILLE, TX

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".

SIGNAL SECURITIES, INC.

CRD#: 15916 / SEC#: 801-63630, 8-32948

RIA

Registered Investment Advisory firm - SEC (11/4/2004 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

California

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/15/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/16/2005 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 66

Date: 9/7/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2007

General Securities Representative Examination

Current Firm

SIGNAL SECURITIES, INC.

CRD#: 15916 / SEC#: 801-63630, 8-32948

RIA

Registered Investment Advisory firm - SEC (11/4/2004 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

California

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/15/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/16/2005 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

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

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Contact information

Main Address

700 Throckmorton Street, Fort Worth, TX 76102

Mailing Address

700 Throckmorton Street, Fort Worth, TX 76102-5036

Phone number

(817) 877-4256

Established

Texas since 09/24/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (16 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SIGNAL ADV BROCHURE 2025 (3/7/2025)

Direct owners and executive officers

Name	Position	CRD#
SINGLETON, IVAN JERRY	EXE CHRM, TREAS, DIR: JOINTLY OWNED W/CARLA WRIGHT	1249354
WRIGHT, CARLA BETH	DIR, CORP SEC: JOINTLY OWNED WITH JERRY SINGLETON	1888192
SNOW, CHRISTOPHER RICHARD	CEO, ROSFP, DIR, MSP	2790759
KORNS, CHASE MARSHALL	CCO	6792936
MENGIS, JANET LEE	CFO

Regulatory assets under management

Total Number of Accounts	1,832
AUM (Assets Under Management)	$ 599,186,467

Disclosures

Regulatory Event	3
Arbitration	2

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

Karl J. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGNAL SECURITIES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SIGNAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/7/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2007

Current Firm

SIGNAL SECURITIES, INC.

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SIGNAL SECURITIES, INC.

TRUST BUT VERIFY

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