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KELLY KENNETH JAY
KELLY KENNETH YEE
CRD#: 841928
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Incline Village, NV
Registration History
19801985199019952000200520102015202020252 FIRMS2008 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1980 - 2008 (28 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1978 - 1980 (2 years)BDEAN WITTER & CO. INCORPORATED (CRD# 6466)1977 - 1978 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 2008 (19 years)
License(s)

State Registrations

B
Alabama 11/7/2008

B
Mississippi 1/6/2014

B
Alaska 11/7/2008

B
Montana 11/7/2008

B
Arizona 11/7/2008

B
Nevada 11/7/2008

B
Arkansas 11/7/2008

IA
Nevada 1/16/2013

B
California 11/7/2008

B
New Jersey 12/14/2022

IA
California 11/12/2008

B
New Mexico 6/24/2015

B
Colorado 11/7/2008

B
New York 11/7/2008

B
Connecticut 11/3/2021

B
North Carolina 11/7/2008

B
Delaware 1/9/2023

B
Ohio 11/7/2008

B
District of Columbia 9/11/2012

B
Oklahoma 5/21/2019

B
Florida 11/7/2008

B
Oregon 11/7/2008

B
Georgia 11/7/2008

B
Pennsylvania 11/7/2008

B
Hawaii 11/7/2008

B
Rhode Island 11/7/2008

B
Idaho 11/7/2008

B
South Dakota 7/17/2023

B
Illinois 11/7/2008

B
Tennessee 11/7/2008

B
Indiana 12/2/2011

IA
Tennessee 1/24/2023

B
Kansas 11/7/2008

B
Texas 4/26/2012

B
Kentucky 12/18/2015

IA
Texas 11/5/2015

B
Louisiana 3/30/2017

B
Utah 11/7/2008

B
Maine 3/29/2023

B
Virginia 11/7/2008

B
Maryland 11/7/2008

B
Washington 11/7/2008

B
Massachusetts 11/7/2008

B
West Virginia 11/7/2008

B
Michigan 11/7/2008

B
Wisconsin 5/20/2019

B
Minnesota 11/7/2008

B
Wyoming 1/3/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Incline Village, NV
Paradise Valley, AZ
Registered with this firm since 11/7/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Incline Village, NV
Paradise Valley, AZ
Registered with this firm since 11/7/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/05/1989 - 11/10/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKLAND, CA
B
02/20/1980 - 11/10/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKLAND, CA
B
02/24/1978 - 03/15/1980 DEAN WITTER REYNOLDS INC. (CRD#:7556)
B
09/01/1977 - 02/24/1978 DEAN WITTER & CO. INCORPORATED (CRD#:6466)
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B
Broker
IA
Investment Adviser
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.