Ryan W. Kelly
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.
Ryan William Kelly was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2009. Ryan had worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2017 - January 9, 2018
DAVID LERNER ASSOCIATES, INC.
November 3, 2011 - December 23, 2011
COREBRIDGE CAPITAL SERVICES, INC.
March 10, 2011 - September 20, 2011
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 19, 2010 - January 18, 2011
EQUITABLE ADVISORS, LLC
August 21, 2009 - January 18, 2011
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
