John Kelley
John Kelley is a registered investment advisor at Capitol Securities Management, INC., based in Worcester, MA, with 25 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 3,745 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CSM charges a percentage of your portfolio each year for investment advisory advice. The maximum advisory fee is 2.0% per year. The fee is paid in advance, on a quarterly or monthly basis. The amount you pay will reduce any money you make on your investments. CSM also offers wrap fee programs where the fee includes investment advisory services and brokerage execution costs. The maximum wrap fee is 2.0% per year.
Location
184 Main Street, Worcester, MA, 01608
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Regulatory History
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.
Learn about disclosures →Other Business Activities
John sells socks since 2019, dedicating about 10-20% of his time, primarily on weekends. This activity is not investment-related.
Employment History
Current Registrations
Capitol Securities Management, INC.
Capitol Securities Management, INC.Broker
Previous Registrations
Fidelity Brokerage Services LLCBroker
Fidelity Brokerage Services LLCBroker
Prudential Securities IncorporatedBroker
Dean Witter Reynolds INC.Broker
Gruntal & CO., L.L.C.Broker
State Registrations9 states
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.