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RIA / WealthAdvisorCertified Financial Planner25 years in industry

MARK SEAN KELLY

Advisor at UNIVERSITY FINANCIAL STRATEGIES, LLC.

RALEIGH, NC

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Search this name across graphsid dfx:ria:3328374b-bc7a-926a-8a2d-ecc8a081fd3f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UNIVERSITY FINANCIAL STRATEGIES, LLC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 19, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Feb 20, 2009
First registration: Sep 19, 2001
Dual registered: no
IAPD individual key: 2287975

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UNIVERSITY FINANCIAL STRATEGIES, LLC.	State registered	Jul 23, 2018	n/a	yes	RALEIGH, NC	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Aug 1, 2016	Jul 23, 2018	no	Raleigh, NC\|Raleight, NC	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	May 27, 2015	Aug 8, 2016	no	Raleigh, NC	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Oct 8, 2013	Aug 7, 2014	no	PROVIDENCE, RI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 10, 2011	Mar 31, 2011	no	PROVIDENCE, RI	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Feb 24, 2009	Mar 18, 2009	no	DALLAS, TX\|DALLAS, TX\|DALLAS, TX	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Sep 19, 2001	Feb 9, 2006	no	DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	UNIVERSITY FINANCIAL STRATEGIES, LLC.	Jul 23, 2018	Jul 23, 2018	0	Firm change	Ibd to state RIA
PRINCIPAL SECURITIES, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Aug 8, 2016	Aug 1, 2016	-7	Firm change	Other
ADVICE AND PLANNING SERVICES	PRINCIPAL SECURITIES, INC.	Aug 7, 2014	May 27, 2015	293	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Mar 31, 2011	Oct 8, 2013	922	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 18, 2009	Mar 10, 2011	722	Firm change after gap	Other
STRATEGIC ADVISERS LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Feb 9, 2006	Feb 24, 2009	1,111	Firm change after gap	Other

Relationships

Registered with (7)

→ UNIVERSITY FINANCIAL STRATEGIES, LLC.Registered adviserregistration: current employment
Jul 23, 2018 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 1, 2016 to Jul 23, 2018factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
May 27, 2015 to Aug 8, 2016factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Oct 8, 2013 to Aug 7, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 10, 2011 to Mar 31, 2011factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Feb 24, 2009 to Mar 18, 2009factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Sep 19, 2001 to Feb 9, 2006factForm ADV

Dated events

No dated event names this entity yet.