Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Patrick Kelly is a financial advisor registered with Wells Fargo Clearing Services, LLC. Kelly has been in the industry since 2001 and is licensed to provide investment advice in North Carolina. Kevin has a variety of experience in the industry having worked with firms like Wells Fargo Securities, LLC, Wells Fargo Advisors, LLC, and U.S. Financial Investments, Inc. His certifications include the Series 7, Series 63, Series 9, Series 10, Series 55, and Series 57TO. He is also a Chartered Financial Analyst. Kevin has experience providing investment consulting services to institutional clients and financial planning to both businesses and individuals.
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
NC
09/15/2022 - Present
Wells Fargo Clearing Services, LLC (RALEIGH NC)
NC
04/22/2015 - 08/03/2022
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
09/13/2013 - 04/24/2015
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NY
10/08/2012 - 06/28/2013
U.S. FINANCIAL INVESTMENTS, INC. (NEW YORK NY)
NJ
04/28/2006 - 09/13/2006
ASSENT LLC (HOBOKEN NJ)
NY
07/13/2004 - 11/03/2005
SKY CAPITAL LLC (NEW YORK NY)
NJ
03/12/1996 - 06/22/2004
KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)
NY
08/05/1994 - 03/11/1996
MCGINN, SMITH & CO., INC. (ALBANY NY)
BC
Issued 11/06/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/06/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/12/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/05/2012
Series 7 - General Securities Representative 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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