linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

James Patrick Kelly

Scotia Capital (usa) Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you James? Claim Your Profile

About James Patrick Kelly

James Kelly is a financial advisor with Scotia Capital (usa) Inc. James has over 25 years of experience in the financial services industry. Prior to joining Scotia Capital (usa) Inc. in 2022, James was with HSBC Securities (USA) Inc. for 17 years. James is registered with FINRA and holds the Series 7, Series 24, Series 63, Series 57TO and Series 79TO licenses. James is also registered in all 50 states, the District of Columbia and Puerto Rico.

Firm Information

James Kelly is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

James Kelly’s Registration & Firm History

NY

01/07/2022 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

10/18/2004 - 08/05/2021

HSBC SECURITIES (USA) INC. (NEW YORK NY)

CT

11/27/2003 - 10/05/2004

ABN AMRO INCORPORATED (STAMFORD CT)

NY

09/07/2000 - 09/06/2002

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

10/27/1994 - 08/03/2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

Not sure if James Patrick Kelly is right for you?

Licenses & Designations

BC

Issued 12/13/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/18/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/03/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Patrick Kelly.
Not sure if James Patrick Kelly is right for you?