# KELLY AND ASSOCIATES

> FINRA firm 115473 · INACTIVE · **⚠ HAS DISCLOSURE EVENTS** · AUSTIN, TX

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 115473
- **Firm name:** KELLY AND ASSOCIATES
- **Other names:** DAVID JAMES KELLY, KELLY AND ASSOCIATES
- **Investment Adviser scope:** INACTIVE
- **Branches:** 0
- **Has disclosure events:** YES
- **Headquarters:** AUSTIN, TX, 78746, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/115473

## Citation

> FINRA BrokerCheck, firm 115473 (KELLY AND ASSOCIATES). Retrieved via AI Analytics 2026-07-01 from https://api.ai-analytics.org/broker/115473.

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