John Kelly has been Vice President, Secretary, Chief Compliance Officer of Taconic Advisors since February 2023, is a control person of the firm and directly owns between 25% and 50% of it.
Taconic Advisors Inc. is a Saugerties, NY firm with $246M under management, 133 clients and 3 advisers across 3 offices, as of its July 2026 filing.
John Kelly is a partner of Taconic Advisors. He moved from Manhattan to the Hudson Valley in 2016 and joined the firm in March 2017, supporting partners Chip Simon and Meredith Briggs. He became a partner in January 2023.
John Kelly’s longest registration is the current one, 5 years at Taconic Advisors since 2021. Before joining Taconic Advisors in 2021, John Kelly was registered through Wells Fargo Clearing Services, LLC and Neuberger Berman LLC.
- Taconic AdvisorsCurrent– present · 5 yearsSaugerties, NY · Adviser representative · Firm CRD 123961
- Wells Fargo Clearing Services, LLC– · under a yearHopewell Junction, NY · Adviser representative · Firm CRD 19616
- Neuberger Berman LLC– · under a yearNew York, NY · Adviser representative · Firm CRD 2908
Professional designations
Listed by Taconic Advisors
- CFP®
Investment adviser representative registrations
John Kelly is registered as an investment adviser representative in New York, since June 2021.
- New YorkSince 17 June 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 10 December 2015 |
| Series 66 | Uniform Combined State Law Examination | 12 February 2010 |
| Series 7 | General Securities Representative Examination | 19 June 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Alexander Kelly
- CRD
- 5217352
- Firm
- Taconic Advisors · CRD 123961
- Role
- Vice President, Secretary, Chief Compliance Officer
- Office
- 382 MAIN STREET, Saugerties, NY 12477
- Registration
- Investment adviser registration
- In the industry since
- October 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- taconicadvisors.com
Where does John Kelly work?
John Kelly has been Vice President, Secretary, Chief Compliance Officer of Taconic Advisors Inc. since February 2023, and is a control person of the firm.
Is John Kelly a financial advisor?
Yes. John Kelly has a current investment-adviser registration in New York, through Taconic Advisors since June 2021.
How many years of experience does John Kelly have?
John Kelly has 13 years in the financial industry, since October 2013, across 3 adviser firms.
What exams has John Kelly passed?
John Kelly has passed 3 licensing exams: the Series 7, Series 66 and Series 65. The earliest, the Series 7, was passed in June 2009. FINRA credited John Kelly with the SIE, which began in October 2018.
Where did John Kelly work before Taconic Advisors?
Before Taconic Advisors, John Kelly was registered through Wells Fargo Clearing Services, LLC, October 2016 to April 2017; Neuberger Berman LLC, December 2015 to September 2016.
Where is John Kelly based?
John Kelly’s registered office is in Saugerties, NY.
Is John Kelly registered with FINRA?
No. John Kelly has no current broker registration.
Is John Kelly a CFP?
Taconic Advisors lists John Kelly with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify John Kelly’s record?
Search CRD 5217352 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Kelly’s full registration record.
