Stephen T. Kelly

MIDLAND WEALTH MANAGEMENT

Tarrytown, NY 10591

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CRD#: 6483418

Professional summary

Stephen Thomas Kelly, who also goes by Stephen T Kelly, Stephen Kelly, is a registered financial advisor currently at MIDLAND WEALTH MANAGEMENT located in Tarrytown, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Stephen has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen T Kelly | Stephen 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.

1); Lasalle St. Insurance Services, Inc.; Not investment-related; Tarrytown, New York 10591; Insurance sales; Implementation of insurance recommendations; 16 hours per month, 0 during trading hours; Licensed insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Thomas 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

May 8, 2025 - Present

MIDLAND WEALTH MANAGEMENT

Office #1: 120 White Plains Road Suite 601, Tarrytown, NY 10591

RIA

CRD#: 324997

Tarrytown, NY

Past

September 16, 2024 - May 2, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CROTON ON HUDSON, NY

Past

September 16, 2024 - May 2, 2025

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CROTON ON HUDSON, NY

Past

June 1, 2020 - April 18, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PELHAM MANOR, NY

Past

December 14, 2015 - April 18, 2024

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PELHAM MANOR, NY

Past

May 27, 2015 - December 2, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

PELHAM, 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".

MIDLAND WEALTH MANAGEMENT

MIDLAND WEALTH ADVISORS, LLC | MIDLAND WEALTH MANAGEMENT

CRD#: 324997 / SEC#: 801-127578

RIA

Registered Investment Advisory firm - (8/16/2023 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.

Highlighted states indicate IAR registrations

IAR

New York
(5/8/2025)

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: 5/30/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/25/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/15/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MIDLAND WEALTH MANAGEMENT

MIDLAND WEALTH ADVISORS, LLC | MIDLAND WEALTH MANAGEMENT

CRD#: 324997 / SEC#: 801-127578

RIA

Registered Investment Advisory firm - (8/16/2023 Approved)

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Contact information

Main Address

1201 Network Centre Drive, Effingham, IL 62401

Mailing Address

Phone number

(312) 660-6516

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MIDLAND WEALTH ADVISORS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (6/24/2025)

Regulatory assets under management

Total Number of Accounts	4,290
AUM (Assets Under Management)	$ 2,931,513,136

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/16/2025	Cover Page	Report
02/07/2025	Cover Page	Report
04/26/2024	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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Firm Stability Insights

Stephen T. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Thomas Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

MIDLAND WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/2020

Series 63

Date: 5/28/2015

Series 7TO

Date: 2/25/2020

SIE

Date: 10/1/2018

Series 6

Date: 5/15/2015

Current Firm

MIDLAND WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MIDLAND WEALTH MANAGEMENT

TRUST BUT VERIFY

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