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KE

Kelley R. Ellis

WELCH & FORBES LLC
Boston, MA 02108
Some features on this profile are disabled
CRD#: 5433504
KE

Professional summary

Kelley Roche Ellis, who also goes by Kelley R Ellis, Kelley Ann Roche, is a registered financial advisor currently at WELCH & FORBES LLC located in Boston, Massachusetts.

Kelley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Kelley has worked at 6 firms and has passed the Series 65, Series 63, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kelley R Ellis | Kelley Ann Roche

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) - RIA

Click below to view Kelley Roche Ellis'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®
None

Experience

Current

May 22, 2024 - Present

WELCH & FORBES LLC

Office #1: 45 School Street, Boston, MA 02108
RIA
CRD#: 115119
Boston, MA
Past

May 9, 2018 - September 26, 2022

PRIO WEALTH LP

RIA
CRD#: 105058
BOSTON, MA
Past

March 7, 2016 - April 25, 2018

SANDY COVE ADVISORS, LLC

RIA
CRD#: 152482
HINGHAM, MA
Past

February 23, 2015 - February 19, 2016

SVB WEALTH

RIA
CRD#: 172832
BOSTON, MA
Past

October 28, 2009 - April 14, 2011

JEFFERIES LLC

BD
CRD#: 2347
BOSTON, MA
Past

November 22, 2007 - October 22, 2009

LEERINK PARTNERS LLC

BD
CRD#: 39011
BOSTON, MA

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".
W&
WELCH & FORBES LLC
WELCH & FORBES LLC

CRD#: 115119 / SEC#: 801-60532

RIA
Registered Investment Advisory firm - (8/31/2001 Approved)

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
Massachusetts
(5/22/2024)
IAR
Texas
(10/3/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/5/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 5/5/2008
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/5/2008
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/21/2007
General Securities Representative Examination

Current Firm

W&
WELCH & FORBES LLC
WELCH & FORBES LLC

CRD#: 115119 / SEC#: 801-60532

RIA
Registered Investment Advisory firm - (8/31/2001 Approved)
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Contact information

Main Address
45 School Street, Boston, MA 02108
Mailing Address
Phone number
(617) 523-1635
Established
Firm type
Fiscal year end
# of Employees
56

SEC notice filing (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WELCH & FORBES LLC FORM ADV PART 2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts3,620
AUM (Assets Under Management)$ 9,163,630,959

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/21/2025
Cover Page
Report
02/25/2025
Cover Page
Report
01/30/2024
Cover Page
Report
02/28/2023
Cover Page
Report

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

WELCH & FORBES LLC

CRD#: 115119Boston, MA 02108

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