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V.P. Operations - CCO, CFO · Thoroughbred Financial Services, LLC

Daniel James Kelly

CRD 2378762 · Named on Form ADV at one SEC-registered adviser

At a glance

Thoroughbred Financial Services, LLC, an SEC-registered broker-dealer firm based in Brentwood, TN with $4.0 billion in regulatory assets, lists Daniel James Kelly on its Form ADV as V.P. Operations - CCO, CFO, a control person.

Firms and roles

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Daniel’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
Locked
Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

SEC adviser record

Registered since
2004 (22 years)
Designations
None on file
Exams
Series 63
Registered in
1 state
Also a broker representative
Yes
Disclosures on record
None

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Daniel’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
Locked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (7)

2 more people named with Daniel on the same filings, with titles and firms. Free in Atlas with a free account.

See all 7 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Daniel’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.