Best Investors Account Sign in
Inactive

Charles Kelly Buckley

Spectrum Financial Alliance, Ltd., L.L.C.

Nicholasville, KY

Claim This Profile
Current Employers
Spectrum Financial Alliance, Ltd., L.L.C.

105 Wind Haven Drive, Nicholasville, KY 40356 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2005-01-28
KY RA APPROVED 1997-04-29
  • TX RA
    APPROVED_RES
    Since 2005-01-28
  • KY RA
    APPROVED
    Since 1997-04-29

Branch Locations

105 Wind Haven Drive, Nicholasville, KY 40356 • 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
Spectrum Financial Alliance, Ltd., L.L.C. Nicholasville KY 04/1995 Present
Falcon Harley Ltd., L.L.C. Nicholasville KY 04/2000 Present
Previous Registrations
  • 2003-03-31 → 2003-08-20
    Triad Advisors Llc
    Nicholasville, KY
    Louisville, KY
  • 1995-04-13 → 2003-01-22
    Lpl Financial Llc
    Nicholasville, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-13
S63 Uniform Securities Agent State Law Examination 1987-10-21
  • S65 Uniform Investment Adviser Law Examination
    1995-02-13
  • S63 Uniform Securities Agent State Law Examination
    1987-10-21
Designations

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
PFS INVESTMENTS INC.
EDWARD JONES
CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PNC WEALTH MANAGEMENT LLC

Other Investors

WILLIAM JAMES SEALEY
RANDALL LEE CHEWNING
LIBBY JOANN SLUSHER
LeTicia Williams-Preacely
Roy Stephen Gross
JAMES STEPHEN BOYD
Matthew Vaughn Roth
James Duncan McGary

Other Offices

LPL FINANCIAL LLC · NICHOLASVILLE, KY
STATE FARM INVESTMENT MANAGEMENT CORP. · Nicholasville, KY
PFS INVESTMENTS INC. · NICHOLASVILLE, KY
EDWARD JONES · NICHOLASVILLE, KY
CETERA INVESTMENT ADVISERS LLC · NICHOLASVILLE, KY
EDWARD JONES · NICHOLASVILLE, KY
LPL FINANCIAL LLC · NICHOLASVILLE, KY
STATE FARM INVESTMENT MANAGEMENT CORP. · Nicholasville, KY

More in Nicholasville, KY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor