Kelly J. Collins

YALE CAPITAL

St. Petersburg, FL 33707

Some features on this profile are disabled

CRD#: 6250476

Professional summary

Kelly James Collins is a registered financial advisor currently at YALE CAPITAL CORP. located in St. Petersburg, Florida.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Kelly has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly James Collins'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

April 18, 2023 - Present

YALE CAPITAL CORP.

Office #1: 6475 1st Ave South, St. Petersburg, FL 33707

RIA

CRD#: 126992

St. Petersburg, FL

Past

August 26, 2019 - April 17, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

ST PETERSBURG, FL

Past

August 23, 2019 - April 17, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

ST PETERSBURG, FL

Past

February 9, 2018 - August 19, 2019

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

St. Petersburg, FL

Past

December 19, 2017 - August 19, 2019

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

ST. PETERSBURG, FL

Past

April 27, 2017 - August 28, 2017

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

JOHNSTOWN, NY

Past

September 21, 2016 - March 20, 2017

KEY INVESTMENT SERVICES LLC

CRD#: 136300

GLOVERSVILLE, NY

Past

June 2, 2015 - September 21, 2016

LPL FINANCIAL LLC

CRD#: 6413

JOHNSTON, NY

Past

October 22, 2013 - November 7, 2013

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

ALBANY, NY

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".

YALE CAPITAL CORP.

IVY ADVISORS, INC. | YALE CAPITAL CORP. | TEXAS YALE CAPITAL CORP. | IVY ADVISORS, LLC

CRD#: 126992 / SEC#: 801-64116

RIA

Registered Investment Advisory firm - (4/8/2005 Approved)

Florida

Registered Investment Advisory firm - (4/13/2005 Terminated)

Texas

Registered Investment Advisory firm - (4/13/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(4/18/2023)

IAR

Florida
(4/28/2023)

IAR

Puerto Rico
(5/2/2023)

IAR

Texas
(4/19/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/30/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/31/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/21/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

YALE CAPITAL CORP.

IVY ADVISORS, INC. | YALE CAPITAL CORP. | TEXAS YALE CAPITAL CORP. | IVY ADVISORS, LLC

CRD#: 126992 / SEC#: 801-64116

RIA

Registered Investment Advisory firm - (4/8/2005 Approved)

Florida

Registered Investment Advisory firm - (4/13/2005 Terminated)

Texas

Registered Investment Advisory firm - (4/13/2005 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6475 1st Ave South, St. Petersburg, FL 33707

Mailing Address

Phone number

(727) 823-0006

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIGH NET WORTH INDIVIDUALS AND FAMILIES (7/30/2025)

Regulatory assets under management

Total Number of Accounts	112
AUM (Assets Under Management)	$ 4,043,423,072

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/08/2024	Cover Page	Report
09/11/2023	Cover Page	Report
09/20/2022	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.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Lee Gorgas

CHARLES SCHWAB & CO., INC.

IAR

Tampa, FL

Anita Cepeda

MORGAN STANLEY

Tampa, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kelly J. Collins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly James Collins's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

YALE CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/2018

Series 63

Date: 10/31/2013

SIE

Date: 10/1/2018

Series 6

Date: 10/21/2013

Current Firm

YALE CAPITAL CORP.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

YALE CAPITAL CORP.

TRUST BUT VERIFY

Similar Advisors