Caroline L. Kelley

FIRST MANHATTAN CO. LLC

New York, NY 10022

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CRD#: 6205473

Professional summary

Caroline L Kelley, who also goes by Caroline Lee Kelley, is a registered financial advisor currently at FIRST MANHATTAN CO. LLC located in New York, New York and FIRST MANHATTAN SECURITIES LLC located in New York, New York.

Caroline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Caroline has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caroline Lee Kelley

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 Caroline L Kelley'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

February 16, 2023 - Present

FIRST MANHATTAN CO. LLC

Office #1: 399 Park Avenue, New York, NY 10022

RIA

CRD#: 325281

New York, NY

Current

July 31, 2020 - Present

FIRST MANHATTAN SECURITIES LLC

Office #1: 399 Park Avenue, New York, NY 10022

CRD#: 1845

New York, NY

Past

May 7, 2021 - March 10, 2023

FIRST MANHATTAN SECURITIES LLC

RIA

CRD#: 1845

New York, NY

Past

August 8, 2016 - July 8, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

August 8, 2016 - July 8, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 29, 2015 - June 13, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RESTON, VA

Past

June 23, 2015 - June 13, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RESTON, VA

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".

FIRST MANHATTAN CO. LLC

CRD#: 325281 / SEC#: 801-12411

RIA

Registered Investment Advisory firm - (1/13/1977 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.

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

New York
(7/31/2020)

IAR

New York
(2/16/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/27/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/2015

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

FIRST MANHATTAN CO. LLC

CRD#: 325281 / SEC#: 801-12411

RIA

Registered Investment Advisory firm - (1/13/1977 Approved)

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Contact information

Main Address

399 Park Avenue, New York, NY 10022

Mailing Address

Phone number

(212) 756-3300

Established

Firm type

Fiscal year end

# of Employees

132

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST MANHATTAN BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,722
AUM (Assets Under Management)	$ 34,439,571,092

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/25/2024	Cover Page	Report
11/28/2023	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.

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Advisor Monitoring

Firm Stability Insights

Caroline L. Kelley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline L Kelley's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST MANHATTAN SECURITIES LLC

FIRST MANHATTAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FIRST MANHATTAN CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2015

SIE

Date: 10/1/2018

Series 7

Date: 6/23/2015

FINRA

Nasdaq Stock Market

Current Firm

FIRST MANHATTAN CO. LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST MANHATTAN CO. LLC

TRUST BUT VERIFY

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