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RIA / WealthAdvisorCertified Financial Planner10 years in industry

THOMAS VINCENT KELLY

Advisor at KELLY INVESTMENT MANAGEMENT, LLC

Carlsbad, CA | Raleigh, NC

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Search this name across graphsid dfx:ria:d518168e-459f-84a8-bb32-287ccfb268b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 14, 2019 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: KELLY INVESTMENT MANAGEMENT, 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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: May 30, 2017
First registration: May 14, 2019
Dual registered: no
Other names: THOMAS VINCENT KELLY|Thomas V Kelly|Thomas V Kelly
IAPD individual key: 6432291

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
KELLY INVESTMENT MANAGEMENT, LLC	State registered	Jan 13, 2023	n/a	yes	Carlsbad, CA\|Raleigh, NC	Current employment
CURI CAPITAL	Former SEC adviser	Nov 1, 2021	Dec 7, 2021	no	RALEIGH, NC	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	May 14, 2019	Sep 10, 2019	no	Hickory, NC	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	May 14, 2019	Sep 10, 2019	no	ST LOUIS, MO\|St. Louis, MO\|HICKORY, NC	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
CURI CAPITAL	KELLY INVESTMENT MANAGEMENT, LLC	Dec 7, 2021	Jan 13, 2023	402	Firm change after gap	RIA to state RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CURI CAPITAL	Sep 10, 2019	Nov 1, 2021	783	Firm change after gap	RIA to RIA
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Sep 10, 2019	May 14, 2019	-119	Firm change after gap	Other

Relationships

Registered with (4)

→ KELLY INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 13, 2023 to presentfactForm ADV
→ CURI CAPITALRegistered adviserregistration: previous registration
Nov 1, 2021 to Dec 7, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 14, 2019 to Sep 10, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 14, 2019 to Sep 10, 2019factForm ADV

Dated events

No dated event names this entity yet.