Thomas M. Kelley

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CRD#: 6506746

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Michael Kelley, who also goes by Tom Kelley, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2016. Thomas had 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. 

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.

1. Kelligent, LLC; Not Investment-Related; 24044 Cinco Village Center Blvd., Suite 100, Katy, TX 77494; IT Consulting Company; Spouse's Business, 25% Owner; Start Date: 11/30/2014; Approx. 1 Hour Per Month Spent on this OBA; 0 Hours Spent During Securities Trading Hours; No Responsibilities or Work Performed for this OBA. Occasionally picks up mail or deposits checks for the business. 2. Granite Harbor Capital, 10603 W Sam Houston Pkwy N, SUITE 450, Houston, TX 77064, January 2026, Granite Harbor Advisors established a related adviser that serves as adviser to a series of private funds. Thomas M. Kelley is compensated for client referrals and other various work for this related adviser. Approximately 20 hours per month and 16 hours per month during market hours are spent on this activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 4, 2024 - July 31, 2026

GRANITE HARBOR ADVISORS, INC.

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.

GRANITE HARBOR ADVISORS, INC. | GRANITE HARBOR COMPANIES

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

What does exam status mean?

State Security Law Exam

Series 65

Status Unavailable

Passed: 10/14/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 8/4/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 8/4/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 7/22/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GRANITE HARBOR ADVISORS, INC.

GRANITE HARBOR ADVISORS, INC. | GRANITE HARBOR COMPANIES

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 (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (8/10/2026)

FORM ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (3/30/2026)

Regulatory assets under management

Total Number of Accounts	1,068
AUM (Assets Under Management)	$ 642,136,188

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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Advisor Monitoring

Firm Stability Insights

Thomas M. Kelley

Professional summary

Biography

Aliases

Other business activities

Blog Corner

CRS (Client 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

Passed: 10/14/2021

Series 63

Passed: 8/4/2016

Series 7TO

Passed: 8/4/2021

SIE

Passed: 10/1/2018

Series 6

Passed: 7/22/2016

Current Firm

GRANITE HARBOR ADVISORS, INC.

Contact information

SEC notice filing (4 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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