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David Thomas Kelp

Raymond James Financial Services, Inc.

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About David Thomas Kelp

David Kelp is a financial advisor with Raymond James Financial Services, Inc. David has been in the securities industry since September 10, 2001. David holds the following licenses: Series 7, Series 24, Series 52TO, Series 53, Series 63, and Series 79. David is registered to do business in California. David's previous experience includes roles at MITSUBISHI UFJ SECURITIES (USA), INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and BANC OF AMERICA SECURITIES LLC.

Firm Information

David Kelp is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Kelp’s Registration & Firm History

CA

02/15/2018 - Present

Raymond James Financial Services, Inc. (LAFAYETTE CA)

CA

11/02/2011 - 03/18/2016

MITSUBISHI UFJ SECURITIES (USA), INC. (SAN FRANCISCO CA)

NC

11/01/2010 - 10/10/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)

NC

09/22/1999 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 10/22/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/10/2007

Series 24 - General Securities Principal Examination

BC

Issued 09/06/2006

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/21/2015

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 09/21/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Thomas Kelp.
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