Kevin 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.
Kevin John Kelly was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1976. Kevin had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2005 - November 5, 2008
EASTBROOK CAPITAL GROUP LLC
June 12, 2001 - September 19, 2003
MURIEL SIEBERT & CO., LLC
April 10, 1991 - February 23, 2000
MURIEL SIEBERT & CO., LLC
May 15, 1990 - March 22, 1991
JANNEY MONTGOMERY SCOTT LLC
May 22, 1989 - March 19, 1990
THE CONCORD EQUITY GROUP, LLC
May 30, 1986 - January 30, 1989
FIRST CLEARING, LLC
April 30, 1982 - July 19, 1982
FIDELITY BROKERAGE SERVICES LLC
October 21, 1976 - October 16, 1981
SOURCE SECURITIES CORPORATION
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
Series 55
Date: 10/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
EASTBROOK CAPITAL GROUP LLC
CRD#: 39781 / SEC#: , 8-48808
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ATLAS B TRUST | MEMBER | |
| THE CREST VIEW TRUST | MEMBER | |
| THE MAIN STREET TRUST | MEMBER | |
| THE MONTAUK TRUST | MEMBER | |
| THE OAK TREE TRUST | MEMBER | |
| ALBION CORP. | TRUSTEE OF THE MAIN STREET TRUST | |
| COMMONWEALTH TRUST COMPANY | TRUSTEE OF THE OAK TREE TRUST | |
| DAUM, MARC | CFO/FINANCIAL AND OPERATIONS PRINCIPAL (05/2004) | 1503109 |
| ESSEX SAVINGS BANK | TRUSTEE OF THE CREST VIEW TRUST | |
| NORTH FORK MANAGEMENT SERVICES INC. | TRUSTEE OF THE MONTAUK TRUST | |
| SAMSON, EDWARD GREGORY | FINOP CONSULTANT CCO | 2041321 |
| UNIVERSAL ASSET MANAGEMENT INC. | TRUSTEE OF THE ATLAS B TRUST |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
Red Flags
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