Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Kelly is a financial advisor who has been working in the financial services industry since June 12, 2013. Kelly is currently registered with Wells Fargo Clearing Services, LLC in Illinois and Texas and has been with the firm since March 2022. Kelly has a broad range of experience having previously worked with UBS Financial Services Inc., Gelber Securities, LLC and Refco Securities, LLC. Kelly is licensed to provide investment advice and has a range of licenses including Series 66, Series 7, Series 72 and Series 3. Kelly's expertise includes investments in a range of asset classes including stocks, bonds, mutual funds, ETFs, options, and futures. Kelly offers a range of services including financial planning, portfolio management, and investment consulting to a wide range of clients, including individuals, families, businesses, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
03/07/2022 - Present
Wells Fargo Clearing Services, LLC (CHICAGO IL)
IL
05/16/2017 - 03/25/2022
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
IL
11/10/2009 - 11/01/2011
GELBER SECURITIES, LLC (CHICAGO IL)
NY
08/25/2004 - 10/31/2005
REFCO SECURITIES, LLC (NEW YORK NY)
IL
04/03/2003 - 01/05/2004
GELBER SECURITIES, LLC (CHICAGO IL)
BOTH
Issued 06/07/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/09/2009
Series 72 - Government Securities Representative Examination
BC
Issued 01/28/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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