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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-14 |
| NJ | RA | APPROVED | 2019-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual | Latham | NY | 11/2013 | 08/2019 |
| Raymond James Financial Services, Inc. | Latham | NY | 09/2019 | Present |
| Raymond James Financial Services Advisors, Inc. | Latham | NY | 09/2019 | Present |
1) THE KELTON FINANCIAL GROUP, NON-INVESTMENT RELATED DBA NAME/SUPPORT COMPANY, LATHAM, NY, EMPLOYEE, STARTED 08/2019, 0 HOURS DEVOTED, 0 HOURS DEVOTED DURING TRADING HOURS, NON-INVESTMENT RELATED DBA NAME/SUPPORT COMPANY FOR FINANCIAL SERVICES BUSINESS. 2) KAFL INSURANCE, INVESTMENT RELATED, LATHAM, NY, INSURANCE, EMPLOYEE, STARTED 06/2018, 0-5 HOURS DEVOTED, 0-5 HOURS DEVOTED DURING TRADING HOURS, INSURANCE GENERAL AGENT. 3) Name of Business : Kelton Financial Group Address: 11 Sunset Dr,Latham, NY Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Employee Investment Related:No Start Date: 10/02/2020 Hours per month devoted to this business: 180 Hours per month devoted to this business during trading hours: 8 Description of duties: ¿Provide optimal level of client services and maintain effective relationships with clients. ¿Correspond with clients to handle advisory related service issues. ¿Contact clients on behalf of the WMA for developing advisory plan and provide technical
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-05-20 |
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