Donald J. Kelly
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.
Donald John Kelly was a registered financial advisor .
Donald is a previously registered financial advisor and started their career in finance in 1981. Donald had worked at 11 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2002 - August 26, 2003
MORGAN STANLEY DW INC.
May 18, 2001 - August 26, 2003
MORGAN STANLEY DW INC.
February 24, 1995 - February 1, 2000
MARION BASS SECURITIES CORPORATION
January 20, 1993 - February 27, 1995
MASTERS FINANCIAL GROUP, INC.
September 19, 1990 - October 1, 1992
POWELL & SATTERFIELD, INC.
August 22, 1987 - October 17, 1990
ANGLO-AMERICAN INVESTOR SERVICES CORP.
July 14, 1986 - June 10, 1987
BOWMAN & COMPANY INCORPORATED
January 2, 1986 - July 29, 1986
BRYAN, WORLEY & CO., INC.
September 17, 1985 - January 1, 1986
FIRST AFFILIATED SECURITIES, INC.
August 31, 1984 - September 19, 1985
EMPIRE NATIONAL SECURITIES, INCORPORATED
November 28, 1983 - September 17, 1984
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 20, 1981 - November 7, 1983
BRITTENUM & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
