Jim Kelly, Inc.
About Cetera Financial Specialists
My independent business model ensures I have the autonomy and discretion to put you at the center of all investment strategies and business decisions.
Let me emphasize the word “Independent”, because I think this is very important to you! I don’t have a boss or a home office that I have to please. I don’t have any company products that I have to sell. I am actually in a position where I can act in my clients best interest.Just as I stand behind you to help you pursue your financial dreams, I have teams standing behind me and supporting my business. These firms also strengthen my relationship with you by providing the resources I need to better serve you. I think it’s important for you to know who these partners are and why I have chosen to work with them.
My Broker-Dealer: Cetera Financial Specialists
I am affiliated with Cetera Financial Specialists, one of the premier broker-dealers in the industry. As my broker-dealer, they are responsible for executing trades on your behalf. Like all broker-dealers, they must undergo regular auditing, and are required to meet specific net capital requirements to ensure it can meet its obligations to investors like you.
But their support for our relationship goes well beyond its function as trade executor. My affiliation means that I am not held to a sales quota or tied to selling only proprietary products. I have the independence and freedom to recommend the financial solutions that best suit your needs, ensuring your objectives are what drive all decisions, while Cetera Financial Specialists’ network of people and resources help us pursue your unique goals and vision for the future.
Their Parent Company: Cetera Financial Group
Cetera Financial Specialists is part of the family of independently managed firms of Cetera Financial Group (Cetera). For the past 30 years, Cetera’s family of companies has grown to manage over $110 billion in client assets, delivering award-winning* advisory products and solutions and sophisticated trading and technology platforms to me and other advisors across all 50 states. You can be confident that their tools, technology and support help make me more effective in our relationship with you.
Cetera Financial Group is the cornerstone of the retail advice division of RCS Capital Corporation, a publicly traded company (NYSE: RCAP) focused on serving the needs of investors with best-in-class solutions.
My Most Important Connection: With You
While the firms behind me play important roles in my day-to-day servicing of your needs, the most important relationship I have is undoubtedly with you. I work with these firms to make it easier for me to work for you. Anytime you would like more information about the above firms, please do not hesitate to ask. I want you to feel confident that you understand, to your satisfaction, how we work with and through these firms, why I have chosen to work with Cetera Financial Specialists, and the absolute priority both Cetera Financial Specialists and I place on my relationship with you.