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John D. Kelly

Ubs Financial Services Inc.

Florham Park, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-03-17
NJ RA APPROVED 2010-09-28
  • TX RA
    APPROVED_RES
    Since 2025-03-17
  • NJ RA
    APPROVED
    Since 2010-09-28

Branch Locations

500 Campus Drive 2Nd Floor, Florham Park, NJ 07932 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Bedminster NJ 09/2010 Present
Previous Registrations
  • 2009-06-01 → 2010-10-06
    Morgan Stanley
    Short Hills, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Short Hills, NJ
  • 2004-09-03 → 2007-04-02
    Morgan Stanley Dw Inc.
    Short Hills, NJ
    Short Hills, NJ
  • 2002-05-08 → 2004-09-16
    Citigroup Global Markets Inc.
    Florham Park, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-17
S63 Uniform Securities Agent State Law Examination 1989-10-19
  • S65 Uniform Investment Adviser Law Examination
    1994-06-17
  • S63 Uniform Securities Agent State Law Examination
    1989-10-19
Other Names
  • John David Kelly

View on SEC IAPD

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Other Offices

WISS PRIVATE CLIENT ADVISORS, LLC · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
AMERIPRISE FINANCIAL SERVICES, LLC · FLORHAM PARK, NJ
WELLS FARGO CLEARING SERVICES, LLC · FLORHAM PARK, NJ

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