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JK

Joseph Kelly

PURSHE KAPLAN STERLING INVESTMENTS
Austin, TX 78730
Some features on this profile are disabled
CRD#: 5815949
JK

Professional summary

Joseph Kelly, who also goes by Joey Kelly, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Austin, Texas.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2023. Joseph has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joey 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 Joseph Kelly'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

November 9, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 6500 River Place Blvd. Building 1, Suite #203, Austin, TX 78730
BD
CRD#: 35747
Austin, TX

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
California
(3/14/2024)
RR
South Carolina
(3/4/2024)
RR
Texas
(11/22/2023)
RR
Wyoming
(10/7/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/30/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/9/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 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#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Austin, TX 78730

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