Stephen Kelly
Stephen Kelly is a registered investment advisor at Midland Wealth Management, based in Tarrytown, NY, with 10 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 138 clients with $2.9B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.00% |
| $1.0M - $3.0M | 0.80% |
| $3.0M - $5.0M | 0.60% |
| $5M+ | 0.50% |
The Advisor imposes a minimum fee of $1,000 or the fee schedule above, whichever is greater. If the firm manages an account under its fixed income strategy, the fees for the fixed income strategy will be reduced by 50% from the standard fee schedule.
Fee Estimator
Location
120 White Plains Road, Suite 135, Tarrytown, NY, 10591
Get directionsHistory
Regulatory History (1)
Criminal
April 2011Other Business ActivitiesSells Insurance
Stephen is a licensed insurance agent and implements insurance recommendations through Lasalle St. Insurance Services, Inc. This activity takes about 10% of his time.
Employment History
Current Registrations
Midland Wealth Management
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
J.P. Morgan Securities LLCBroker
State Registrations1 state
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.