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Trustee of Kelly Family Trust DTD 08/28/1984 · Spectrum Asset Management Inc

Roland D. Kelly

CRD 4394435 · Named on Form ADV at one SEC-registered adviser

At a glance

Spectrum Asset Management Inc, an SEC-registered wealth manager based in Newport Beach, CA with $657 million in regulatory assets, lists Roland D. Kelly on its Form ADV as Trustee of Kelly Family Trust DTD 08/28/1984, a control person.

Firms and roles

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Roland’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
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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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

  • Ryan L. KellyChief Executive Officer of Spectrum Asset Management & Trustee of Ryan LEE Kelly Separate Property Trust DTD 01/11/2006, Spectrum Asset Management Inc
  • Marc D. KellyShareholder, Spectrum Asset Management Inc
  • Tony K. JungChief Compliance Officer & Chief Operating Officer, Spectrum Asset Management Inc

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