Unclaimed Profile

Roland Duane Kelly

SPECTRUM ASSET MANAGEMENT INC·NEWPORT BEACH, California

Clean record14 years registeredSPECTRUM ASSET MANAGEMENT INC

1301 DOVE STREET, NEWPORT BEACH, CA 92660-2453CRD# 4394435Firm CRD# 111007

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Roland Duane Kelly · NEWPORT BEACH, CA

Registration

CRD #4394435 · SPECTRUM ASSET MANAGEMENT INC · 14 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SPECTRUM ASSET MANAGEMENT INC

SPECTRUM ASSET MANAGEMENT INC

Dec 2011 – Aug 2024

NEWPORT BEACH, CA

Registrations & Exams

Registration record

First registered · December 7, 2011

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SPECTRUM ASSET MANAGEMENT INC

CRD 111007 · SEC 801-30377

AUM

$646M

Regulatory assets under management

Employees

921 client accounts

Services offered by SPECTRUM ASSET MANAGEMENT INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SPECTRUM ASSET MANAGEMENT INC →

Introduction

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Frequently Asked Questions

What services does Roland Duane Kelly offer?

Roland Duane Kelly specializes in Financial Planning, Investment Management, Wealth Management.

What are Roland Duane Kelly's credentials?

Roland Duane Kelly is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Roland Duane Kelly located?

Roland Duane Kelly is based in NEWPORT BEACH, California, last registered with SPECTRUM ASSET MANAGEMENT INC.

How does Roland Duane Kelly charge for services?

Roland Duane Kelly's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SPECTRUM ASSET MANAGEMENT INC?

SPECTRUM ASSET MANAGEMENT INC has approximately 11 employees and manages $646M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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