Nicholas Kelley
Advisor at LPL Financial
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
About
Nicholas Kelley is a financial advisor at LPL Financial with four years of industry experience. He holds a Series 66 designation and has previously worked at Cadaret Grant & Co., Inc. He is also involved in accounting and tax preparation, and serves as secretary on the board of St. James Hospital, a nonprofit organization. LPL Financial provides advisory and brokerage services to a diverse client base, including individuals, retirement plans, banks, and charities. The firm offers a range of financial planning and investment management solutions supported by an in-house research team and a large network of investment adviser representatives.
Client services
Based on LPL Financial
Financial planning
Portfolio management
Educational seminars or workshops
Consulting and other non-discretionary advisory services
Consulting and other non-discretionary advisory services
Expertise
Based on LPL Financial
Wealth management
Retirement plans for business owners (SEP, solo 401k)
College savings (529s, UTMA, etc.)
Fee options
Financial planning and consulting services fees may be flat fees up to $10,000, negotiated between client and IAR.
Clients may pay commissions, markups, markdowns, and transaction charges for brokerage services; commissions apply particularly if LPL acts as broker-dealer.
Financial planning and consulting services fees may be hourly, up to $500 per hour.
Location
1 Broadway Mall
Hornell, NY 14843
Most active in
Nicholas K has reported serving >5 clients in these states in the last 12 months.
New York
Work history
LPL Financial
2025 - Present (1 year)
Cadaret Grant & Co., Inc.
2021 - 2025 (4 years)
Maple City Financial Services
2019 - Present (7 years)
Maple City Savings Bank, FSB
2017 - Present (9 years)
Insero & Company CPAs, LLP
2015 - 2017 (2 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Raymond A
Series 66
Hornell, NY
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Hornell, NY
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Andover, NY
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Series 63, Series 65
Almond, NY
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Curtis C
ChFC®, Series 63
Almond, NY
Principal Financial Services
Summer S
Series 66
Hornell, NY
Kestra Advisory
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