Thomas Kelley, financial advisor Mequon WI
96 score

Thomas Kelley

CRD Number: 1449947
Current Firm: Stifel, Nicolaus & Company, Incorporated

Thomas Kelley (CRD# 1449947) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Mequon, WI and has over 32 years of experience in the finance industry. Thomas Kelley has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Stifel, Nicolaus & Company, Incorporated Mequon, WI Aug 2007 - Current 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1986
S65 NASAA Investment Advisors Law Examination Nov 2007
Contact Info for Thomas J. Kelley
Phone Number: 314-342-2000
Registered State(s):
  • TX
  • WI
By the Numbers
  • Total Assets Under Management
    53,887
    MILLIONS
  • Total Number of Accounts
    141,170
    ACCOUNTS
  • Average Account Value
    $381,719
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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