James Patrick Kelly

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2007-01-10

TX RA
APPROVED

Since 2007-01-10

Branch Locations

Austin, TX • 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

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	07/2006	Present
Cetera Investment Advisers Llc	Schaumburg	IL	11/2006	Present
Jim Kelly Incorporated	Austin	TX	01/2010	Present
Jim Kelly, Incoroprated	Austin	TX	11/2009	Present

07/2006 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
11/2006 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
01/2010 → Present

Jim Kelly Incorporated

Austin, TX
11/2009 → Present

Jim Kelly, Incoroprated

Austin, TX

Other Businesses

1) JIM KELLY INCORPORATED; AUSTIN, TX; BUSINESS ACCOUNTING/TAX; PRESIDENT SINCE 1/1/2010; 40 HRS/WK; DUTIES ACCOUNTING AND TAX PREPARATION: 2) JIM KELLY, INCORPORATED; INV-REL; AUSTIN, TX; PRESIDENT; FINANCIAL SERVICES INVESTMENTS AND INSURANCE; START DATE 11/2009; 40HRS/MNTH 3 HRS DURING SECURITY TRADING HRS: 3) YOGA INSTRUCTOR; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; HEALTH; START 12/2014; 2 HOURS/WEEK AFTER TRADING HOURS; TEACHING YOGA CLASSES 4) NAME OF OTHER BUSINESS: CAPITAL OF TEXAS ENROLLED AGENTS(CTEA); INVESTMENT RELATED: NO ; ADDRESS: 6347 TASAJILLO TRAIL AUSTIN, TX 78739 NATURE OF BUSINESS: ENROLLED AGENTS; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: MEET TWICE A YEAR TO DISCUSS EDUCATION;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-01-09
S63	Uniform Securities Agent State Law Examination	1998-04-27

S66 Uniform Combined State Law Examination

2007-01-09
S63 Uniform Securities Agent State Law Examination

1998-04-27