TK
Thomas K. Kelly
ASPIRE PRIVATE CAPITAL
Cornelius, NC 28031
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CRD#: 6031261
TK
Professional summary
Thomas Keith Kelly is a registered financial advisor currently at ASPIRE PRIVATE CAPITAL located in Cornelius, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Thomas has worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) COVENANT PRIVATE CAPITAL - OWNER - INVESTMENT-RELATED - INSURANCE AND ANNUITY PRODUCT SALES - START DATE 06/2005 - 4334 ARTESIAN COVE CT, DENVER, NC 28037 - 11 HOURS/MONTH - 11 DURING SECURITIES TRADING HOURS || (2) ESTATE & RETIREMENT CONSULTANTS OF THE FOOTHILLS DBA ASPIRE INSURANCE SOLUTIONS - MARKETING CONSULTANT - INVESTMENT-RELATED - INSURANCE AND ANNUITY PRODUCT MARKETING - START DATE 01/2014 - 1333 2ND ST NE SUITE 310, HICKORY, NC 28601 - 5 HOURS/MONTH - 5 DURING SECURITIES TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Keith Kelly's 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®
NoneExperience
Current
January 22, 2015 - Present
ASPIRE PRIVATE CAPITAL
Office #1: 19410 Jetton Road Suite 110, Cornelius, NC 28031RIA
CRD#: 154116
Cornelius, NC
Past
February 17, 2012 - June 12, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
MOORESVILLE, NC
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".
AP
ASPIRE PRIVATE CAPITAL
ASPIRE PRIVATE CAPITAL | ASPIRE PRIVATE CAPITAL, LLC
CRD#: 154116 / SEC#: 801-113754
RIA
Registered Investment Advisory firm - (8/1/2018 Approved)Florida
Registered Investment Advisory firm - (8/15/2018 Terminated)Georgia
Registered Investment Advisory firm - (10/5/2018 Terminated)North Carolina
Registered Investment Advisory firm - (8/17/2018 Terminated)South Carolina
Registered Investment Advisory firm - (8/15/2018 Terminated)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
North Carolina(1/22/2015)
Current Firm
AP
ASPIRE PRIVATE CAPITAL
ASPIRE PRIVATE CAPITAL | ASPIRE PRIVATE CAPITAL, LLC
CRD#: 154116 / SEC#: 801-113754
RIA
Registered Investment Advisory firm - (8/1/2018 Approved)Florida
Registered Investment Advisory firm - (8/15/2018 Terminated)Georgia
Registered Investment Advisory firm - (10/5/2018 Terminated)North Carolina
Registered Investment Advisory firm - (8/17/2018 Terminated)South Carolina
Registered Investment Advisory firm - (8/15/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
19410 Jetton Road Suite 110, Cornelius, NC 28031
Mailing Address
Phone number
(704) 237-9927
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,701 |
| AUM (Assets Under Management) | $ 455,692,609 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
