Best Investors Account Sign in

Richard Gilbert Kelley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Darien, CT

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2016-11-04
TX RA APPROVED 2016-10-27
  • CT RA
    APPROVED
    Since 2016-11-04
  • TX RA
    APPROVED
    Since 2016-10-27

Branch Locations

1020 Post Rd, Darien, CT 06820 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co., Incorporated Purchase NY 02/2008 10/2016
Morgan Stanley Smith Barney Greenwich CT 06/2009 10/2016
Morgan Stanley Private Bank, National Association New York NY 01/2015 10/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Darien CT 10/2016 Present
Bank Of America, N.A. Darien CT 11/2016 Present
  • 02/2008 → 10/2016
    Morgan Stanley & Co., Incorporated
    Purchase, NY
  • 06/2009 → 10/2016
    Morgan Stanley Smith Barney
    Greenwich, CT
  • 01/2015 → 10/2016
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 10/2016 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Darien, CT
  • 11/2016 → Present
    Bank Of America, N.A.
    Darien, CT
Previous Registrations
  • 2009-06-01 → 2016-11-03
    Morgan Stanley
    Greenwich, CT
    Fairfield, CT
    Greenwich, CT
  • 2008-02-22 → 2009-06-01
    Morgan Stanley & Co. Llc
    Greenwich, CT
  • 2001-02-09 → 2008-03-06
    Citigroup Global Markets Inc.
    Greenwich, CT
    Greenwich, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-10
S63 Uniform Securities Agent State Law Examination 1992-10-30
  • S65 Uniform Investment Adviser Law Examination
    1992-11-10
  • S63 Uniform Securities Agent State Law Examination
    1992-10-30
Other Names
  • Chip Kelley
  • Richard Gilbert Kelley
  • Richard Gilbert Kelley
  • Richard J Kelley
  • Richard Gilbert Kelley
  • Richard Gilbert Kelley Jr.

View on SEC IAPD

Other Firms

CRESTWOOD ADVISORS
TEN COVES CAPITAL, LP
GENE ALEXANDER QUALMAN
SOLAS CAPITAL MANAGEMENT, LLC
LPL FINANCIAL LLC
STRATIS CAPITAL, LLC
OCCAM CREST MANAGEMENT LP
ROCK ELM CAPITAL MANAGEMENT LLC

Other Investors

GRAHAM MARK MURRAY
PATRICK S WAYLAND
Christopher John Morley
ERICA L WESTFALL
Taylor Watts Marron
Edward G Naylor
FRANCOIS ALEXANDRE MORIN
BRIAN DANIEL CEGLARSKI

Other Offices

CRESTWOOD ADVISORS · Darien, CT
CRESTWOOD ADVISORS · Darien, CT
CRESTWOOD ADVISORS · Darien, CT
CRESTWOOD ADVISORS · Darien, CT
TEN COVES CAPITAL, LP · DARIEN, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · DARIEN, CT
GENE ALEXANDER QUALMAN · DARIEN, CT
SOLAS CAPITAL MANAGEMENT, LLC · DARIEN, CT

More in Darien, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor