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Thomas John Kelly

Nasdaq Execution Services, LLC

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About Thomas John Kelly

Thomas John Kelly is a Financial Advisor at Nasdaq Execution Services, LLC, a registered broker-dealer and investment advisor. Thomas John Kelly holds the Series 99 and SIE licenses. Thomas John Kelly joined Nasdaq Execution Services, LLC in March 2018. Prior to that, Thomas John Kelly worked at EXECUTION ACCESS, LLC.

Firm Information

Thomas Kelly is currently registered with Nasdaq Execution Services, LLC. Nasdaq Execution Services, LLC is a Limited Liability Company formed in November 1997. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the District of Columbia. The firm has 10 regulatory events on file.

Not reported

Assets Under Management

Not reported

Total Clients

36

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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Thomas Kelly’s Registration & Firm History

PA

03/29/2018 - Present

Nasdaq Execution Services, LLC (PHILADELPHIA PA)

PA

03/29/2018 - 06/25/2021

EXECUTION ACCESS, LLC (Philadelphia PA)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/29/2018

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas John Kelly.
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