Eric C. 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.
Eric C Kelly, who also goes by Eric Kelly, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2013. Eric had worked at 4 firms and has passed the 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
June 12, 2014 - October 18, 2018
IIC
December 11, 2013 - October 24, 2018
LPL FINANCIAL LLC
December 6, 2013 - October 24, 2018
LPL FINANCIAL LLC
September 18, 2013 - November 25, 2013
CANTELLA & CO., INC.
August 6, 2013 - September 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
IIC
CRD#: 168705 / SEC#: 801-78450
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
IIC
CRD#: 168705 / SEC#: 801-78450
Contact information
SEC notice filing (7 States and Territories)
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.
