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Charles Kelly Buckley

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

Nicholasville, KY

CRD 1752633

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Employer firm

Spectrum Financial Alliance, Ltd., L.l.c. CRD 125147

$813M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Periodicals / newsletters
  • Educational seminars
  • INVESTMENT AND INSURANCE CONSULTING AND ESTATE PLANNING FACILITIATION

From the firm’s Form ADV. Read the guides:

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
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
PFS INVESTMENTS INC.

Nearby Investors

WILLIAM JAMES SEALEY
RANDALL LEE CHEWNING
LIBBY JOANN SLUSHER

Nearby Offices

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

More in Nicholasville, KY

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