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Charles Kelly

Cambridge Investment Research Advisors, INC.
40 Years of Experience
Barrington, RI
Broker
View SEC Summary
View SEC Summary

Charles Kelly is a ChFC-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Barrington, RI, with 40 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Barrington, RI

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Charles works as an advisory representative of a registered investment advisor. This activity is investment-related and takes about half of his time.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
February 2018 - Present · 8 yrs 8 mos
Cambridge Investment Research, INC.Broker
February 2018 - Present · 8 yrs 8 mos
Previous Registrations
Cetera Advisors LLC
October 2016 - February 2018 · 1 yr 4 mos
Cetera Advisors LLCBroker
October 2016 - February 2018 · 1 yr 4 mos
Investors Capital Advisory
August 2012 - October 2016 · 4 yrs 2 mos
Investors Capital CORP.Broker
August 2012 - October 2016 · 4 yrs 2 mos
Sagepoint Financial, INC.
January 2006 - August 2012 · 6 yrs 7 mos
Sagepoint Financial, INC.Broker
November 2005 - August 2012 · 6 yrs 9 mos
Mutual Service Corporation
January 2003 - November 2005 · 2 yrs 10 mos
Mutual Service CorporationBroker
January 2003 - November 2005 · 2 yrs 10 mos
Eastern Point Advisors INC.
January 2002 - December 2002 · 11 mos
Investors Capital CORP.Broker
January 2002 - December 2002 · 11 mos
Metropolitan Life Insurance CompanyBroker
May 1999 - January 2002 · 2 yrs 8 mos
Metlife Securities INC.Broker
May 1999 - January 2002 · 2 yrs 8 mos
Metlife Securities INC.Broker
October 1989 - November 1998 · 9 yrs 1 mo
Metropolitan Life Insurance CompanyBroker
October 1989 - November 1998 · 9 yrs 1 mo
Mutual Benefit Financial Service CompanyBroker
August 1987 - August 1989 · 2 yrs
Abedon, LimitedBroker
July 1985 - September 1987 · 2 yrs 2 mos
Mutual Benefit Financial Service CompanyBroker
February 1985 - July 1985 · 5 mos
State Registrations5 states
CTFLMANYRI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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