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Detailed Report
CORY ALAN KELLY
CRD#: 4379359
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 301 BANNER CT
STE 1
MODESTO, CA 95356
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)BRBC DAIN RAUSCHER INC. (CRD# 31194)2001 - 2002 (<1 year)
License(s)

State Registrations

B
California 6/28/2016
B
Nevada 7/18/2023
IA
California 7/7/2016
B
Oklahoma 7/18/2023
B
Colorado 11/10/2021
B
Oregon 7/18/2023
B
Florida 11/10/2021
B
South Carolina 12/2/2024
B
Maryland 8/29/2024
B
Texas 3/25/2021
B
Montana 1/20/2022
IA
Texas 5/10/2021

SRO Registrations

B
 FINRA

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
PRINCIPAL SECURITIES, INC. (CRD#:1137)
301 BANNER CT STE 1, MODESTO, CA 95356
Registered with this firm since 7/7/2016
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
301 BANNER CT STE 1, MODESTO, CA 95356
Registered with this firm since 3/25/2016
Previous Registration(s)
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B
 05/29/2001 - 01/03/2002 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
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.