Timothy W. Kelley
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.
Timothy William Kelley was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1977. Timothy had worked at 15 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 5, PC, Series 7, Series 27 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
March 1, 2011 - March 30, 2017
TERRA CAPITAL MARKETS LLC
February 19, 2010 - March 4, 2011
LIGHTSTONE SECURITIES, LLC
February 13, 2009 - February 17, 2010
REALTY CAPITAL SECURITIES, LLC
July 12, 2005 - January 29, 2009
LIGHTSTONE SECURITIES, LLC
June 19, 2003 - July 7, 2005
CCO CAPITAL, LLC
March 2, 2001 - June 11, 2003
CION SECURITIES, LLC
June 18, 1999 - May 26, 2000
AMREIT SECURITIES COMPANY
August 28, 1997 - February 14, 2000
SECURITIES AMERICA, INC.
August 29, 1996 - January 2, 1997
HAMILTON CLARK SUSTAINABLE CAPITAL, INC.
February 28, 1995 - January 2, 1997
HAMILTON CLARK SUSTAINABLE CAPITAL, INC.
March 23, 1994 - March 1, 1995
IICC - TRADECO, INC.
June 10, 1992 - March 8, 1994
PRUCO SECURITIES, LLC.
October 24, 1991 - February 4, 1992
THE INVESTMENT CENTER, INC.
November 16, 1982 - October 23, 1989
CIBC WORLD MARKETS CORP.
December 20, 1978 - November 24, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 26, 1978 - January 5, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 15
Date: 10/12/1988
Foreign Currency Options ExaminationSeries 5
Date: 9/8/1986
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
TERRA CAPITAL MARKETS LLC
CRD#: 123762 / SEC#: , 8-65611
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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