Thomas M. Kelley

GRANITE HARBOR ADVISORS | Financial Consultant

Houston, TX 77064

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CRD#: 6506746

Professional summary

Thomas Michael Kelley, who also goes by Tom Kelley, is a registered financial advisor currently at GRANITE HARBOR ADVISORS, INC. located in Houston, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Biography

I empower clients to make more informed and effective financial decisions. I partner with individuals and families to create financial plans and investment strategies to help maximize wealth for today, tomorrow, and future generations. 

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom 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 Thomas Michael 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

Education

University of Houston

Master of Business Administration (MBA) - Finance

2008

Baylor University

Bachelor of Business Administration - Finance

2001

Experience

Current

April 4, 2024 - Present

GRANITE HARBOR ADVISORS, INC.

Office #1: 10603 West Sam Houston Parkway North Suite 450, Houston, TX 77064

RIA

CRD#: 179523

Houston, TX

Past

February 16, 2022 - April 3, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

HOUSTON, TX

Past

January 27, 2022 - April 3, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

HOUSTON, TX

Past

October 18, 2021 - November 30, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

HOUSTON, TX

Past

July 25, 2016 - November 30, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

HOUSTON, TX

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".

GRANITE HARBOR ADVISORS, INC.

CRD#: 179523 / SEC#: 801-110558

RIA

Registered Investment Advisory firm - (5/30/2017 Approved)

Texas

Registered Investment Advisory firm - (6/6/2017 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

Texas
(4/4/2024)

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: 10/14/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/4/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/22/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GRANITE HARBOR ADVISORS, INC.

CRD#: 179523 / SEC#: 801-110558

RIA

Registered Investment Advisory firm - (5/30/2017 Approved)

Texas

Registered Investment Advisory firm - (6/6/2017 Terminated)

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Contact information

Main Address

10603 West Sam Houston Parkway North Suite 450, Houston, TX 77064

Mailing Address

Phone number

(832) 461-0789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/27/2026)

FORM ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (1/27/2026)

Regulatory assets under management

Total Number of Accounts	957
AUM (Assets Under Management)	$ 561,382,077

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Thomas M. Kelley

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Kelley's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Houston

Baylor University

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

GRANITE HARBOR ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/2021

Series 63

Date: 8/4/2016

Series 7TO

Date: 8/4/2021

SIE

Date: 10/1/2018

Series 6

Date: 7/22/2016

Current Firm

GRANITE HARBOR ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRANITE HARBOR ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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