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Thomas Vincent Kelly

Kelly Investment Management, LLC

Carlsbad, CA

Raleigh, NC

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Current Employers
Kelly Investment Management, Llc

Raleigh, NC • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-04-14
NC RA APPROVED 2023-01-13
  • CA RA
    APPROVED
    Since 2026-04-14
  • NC RA
    APPROVED
    Since 2023-01-13

Branch Locations

Carlsbad, CA • United States

Raleigh, NC • 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
Owen Kelly Electric And Construction Emerald Isle NC 06/2016 07/2017
Scottrade St. Louis MO 07/2017 02/2018
Td Ameritrade, Inc. St Louis MO 02/2018 09/2019
Curi Capital Raleigh NC 05/2021 12/2021
Unemployed Raleigh NC 10/2019 04/2021
Kelly Investment Managment, Llc Raleigh NC 06/2022 Present
Unemployed Raleigh NC 01/2022 05/2022
  • 06/2016 → 07/2017
    Owen Kelly Electric And Construction
    Emerald Isle, NC
  • 07/2017 → 02/2018
    Scottrade
    St. Louis, MO
  • 02/2018 → 09/2019
    Td Ameritrade, Inc.
    St Louis, MO
  • 05/2021 → 12/2021
    Curi Capital
    Raleigh, NC
  • 10/2019 → 04/2021
    Unemployed
    Raleigh, NC
  • 06/2022 → Present
    Kelly Investment Managment, Llc
    Raleigh, NC
  • 01/2022 → 05/2022
    Unemployed
    Raleigh, NC
Previous Registrations
  • 2021-11-01 → 2021-12-07
    Curi Capital
    Raleigh, NC
  • 2019-05-14 → 2019-09-10
    Td Ameritrade, Inc.
    St Louis, MO
    St. Louis, MO
    Hickory, NC
  • 2019-05-14 → 2019-09-10
    Td Ameritrade Investment Management, Llc
    Hickory, NC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-08-30
S65 Uniform Investment Adviser Law Examination 2017-05-30
  • S63 Uniform Securities Agent State Law Examination
    2017-08-30
  • S65 Uniform Investment Adviser Law Examination
    2017-05-30
Designations
Other Names
  • Thomas Vincent Kelly
  • Thomas V Kelly
  • Thomas V Kelly

View on SEC IAPD

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