Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CLIFTON JAMES KELLY
CRD#: 1319735
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 300B Drakes Landing Road
STE 155
Greenbrae, CA 94904
Registration History
1985199019952000200520102015202020252 FIRMS2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - 2019 (34 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 2019 (27 years)
License(s)

State Registrations

B
Arizona 11/21/2019
B
Minnesota 1/6/2020
IA
Arizona 8/27/2020
B
Montana 12/22/2020
B
California 11/21/2019
B
New Mexico 11/21/2019
IA
California 11/22/2019
B
New York 11/21/2019
B
Colorado 11/21/2019
B
North Carolina 11/21/2019
B
Florida 11/21/2019
B
Oregon 11/21/2019
B
Georgia 6/15/2021
B
South Carolina 3/18/2024
B
Illinois 11/21/2019
B
Texas 11/21/2019
B
Maine 11/21/2019
IA
Texas 11/21/2019
B
Massachusetts 11/21/2019
B
Virginia 11/21/2019

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Scottsdale, AZ
Registered with this firm since 11/21/2019
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Scottsdale, AZ
Registered with this firm since 11/21/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/20/1992 - 11/22/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
B
 12/18/1984 - 11/22/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.