Kevin John Kelly
Professional Summary
Kevin John Kelly was a registered financial advisor. Kevin was a previously registered financial professional and started their career in finance 1976 - 2008. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
EASTBROOK CAPITAL GROUP LLC | FIRST REPUBLIC GROUP, LLC
Contact Information
Established
New York since 09/22/1995Firm Type
Other Types of Legal FormationFiscal Year End
DecemberDocuments
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
7Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 2001Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 1999About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 1999About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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