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Joseph Kelly

Spartan Capital Securities, LLC

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About Joseph Kelly

Joseph Kelly has been in the financial services industry since February 24, 2003. Currently, Joseph Kelly is registered with Spartan Capital Securities, LLC and has been registered since January 13, 2017. Prior to Spartan Capital Securities, LLC, Joseph Kelly was registered with PHX FINANCIAL, INC., NATIONAL SECURITIES CORPORATION, Spartan Capital Securities, LLC, JOHN THOMAS FINANCIAL, PRESTIGE FINANCIAL CENTER, INC., EMPIRE ASSET MANAGEMENT COMPANY, NATIONAL SECURITIES CORPORATION, AURA FINANCIAL SERVICES, INC., NATIONAL SECURITIES CORPORATION, and FIRST MONTAUK SECURITIES CORP.. Joseph Kelly is licensed to provide securities advice in 33 states.

Firm Information

Joseph Kelly is currently registered with Spartan Capital Securities, LLC. Spartan Capital Securities, LLC is a Limited Liability Company formed in June 2007. It is registered to do business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has an active SEC registration and is subject to regulatory oversight.

Not reported

Assets Under Management

Not reported

Total Clients

83

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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Joseph Kelly’s Registration & Firm History

NY

01/13/2017 - Present

Spartan Capital Securities, LLC (NEW YORK NY)

NY

09/21/2016 - 01/20/2017

PHX FINANCIAL, INC. (NEW YORK NY)

NJ

02/01/2016 - 10/18/2016

NATIONAL SECURITIES CORPORATION (EDISON NJ)

NY

01/08/2013 - 02/27/2016

SPARTAN CAPITAL SECURITIES, LLC (NEW YORK NY)

NY

06/21/2010 - 01/18/2013

JOHN THOMAS FINANCIAL (NEW YORK NY)

NY

10/29/2007 - 07/16/2010

PRESTIGE FINANCIAL CENTER, INC. (NEW YORK NY)

NY

06/06/2007 - 11/01/2007

EMPIRE ASSET MANAGEMENT COMPANY (NEW YORK NY)

NY

04/27/2006 - 06/04/2007

NATIONAL SECURITIES CORPORATION (NEW YORK NY)

AL

04/20/2005 - 05/03/2006

AURA FINANCIAL SERVICES, INC. (BIRMINGHAM AL)

FL

03/05/2004 - 04/07/2005

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

NJ

02/12/2003 - 03/08/2004

FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)

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Licenses & Designations

BC

Issued 04/04/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Joseph Kelly. Review regulatory record here.
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