Michael S. Kelly

CANOPY FINANCIAL SOLUTIONS

SANFORD, NC

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CRD#: 7064859

Professional summary

Michael Steven Kelly, who also goes by Michael Kelly, Zeke Kelly, is a registered financial advisor currently at CANOPY FINANCIAL SOLUTIONS located in Sanford, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Michael has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Kelly | Zeke 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) Consultant for Brick City Law; financial consulting for legal clients initially engaged in estate planning and business-related matters.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Kelly's 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

October 7, 2024 - Present

CANOPY FINANCIAL SOLUTIONS

RIA

CRD#: 332951

SANFORD, NC

Past

August 11, 2023 - November 25, 2024

MWA FINANCIAL SERVICES INC.

RIA

CRD#: 112630

Sanford, NC

Past

August 11, 2023 - November 25, 2024

MWA FINANCIAL SERVICES INC.

CRD#: 112630

Sanford, NC

Past

January 5, 2023 - February 21, 2023

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

March 23, 2022 - March 28, 2022

FIRST CITIZENS ASSET MANAGEMENT, INC

RIA

CRD#: 140777

Raleigh, NC

Past

October 6, 2021 - September 6, 2022

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

RALEIGH, NC

Past

October 6, 2021 - September 6, 2022

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Past

March 3, 2020 - October 6, 2021

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Sanford, NC

Past

February 28, 2020 - October 6, 2021

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Sanford, NC

Past

August 14, 2019 - February 4, 2020

MWA FINANCIAL SERVICES INC.

RIA

CRD#: 112630

Sanford, NC

Past

February 1, 2019 - February 4, 2020

MWA FINANCIAL SERVICES INC.

CRD#: 112630

Sanford, NC

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

North Carolina
(10/7/2024)

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 66

Date: 2/27/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/1/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/30/2018

Securities Industry Essentials Examination

Current Firm

CANOPY FINANCIAL SOLUTIONS

CANOPY FINANCIAL SOLUTIONS | LIGMA WORLDWIDE, LLC

CRD#: 332951 / SEC#:

North Carolina

Registered Investment Advisory firm - (10/7/2024 Approved)

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Contact information

Main Address

Sanford, NC

Mailing Address

Phone number

(919) 218-4503

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	49
AUM (Assets Under Management)	$ 7,093,591

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

Michael S. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC.

EMPOWER FINANCIAL SERVICES, INC.

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/27/2019

Series 7TO

Date: 2/1/2019

SIE

Date: 11/30/2018

Current Firm

CANOPY FINANCIAL SOLUTIONS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CANOPY FINANCIAL SOLUTIONS

TRUST BUT VERIFY

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