Stephen Thomas Kelly
Investment Adviser Representative at Midland Wealth Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Stephen Thomas Kelly is an investment adviser representative with Midland Wealth Management in Tarrytown, NY, where they have been registered since 2025. They have worked in the securities industry since 2015 and have been registered with 3 firms, including Wells Fargo Advisors and Citigroup Global Markets Inc. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in New York.
Registrations & licenses
- Investment adviser:
- New York
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Wells Fargo BANKAug 2024 – Apr 2025Croton On Hudson, NY
- UnemployedApr 2024 – Aug 2024New Rochelle, NY
- Midland Wealth Advisors, LLCApr 2025 – no end date reportedTarrytown, NY
- Wells Fargo AdvisorsSep 2024 – Apr 2025Croton On Hudson, NY
- Wells Fargo Clearing Services, LLCSep 2024 – Apr 2025Croton On Hudson, NY
- CitibankNov 2015 – Mar 2024Greenburgh, NY
- Citigroup Global Markets Inc.Dec 2015 – Apr 2024Pelham Manor, NY
- Citigroup Global Markets Inc.Jun 2020 – Apr 2024Pelham Manor, NJ
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Midland Wealth Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 22
- Offices listed on AdvisorFinder:
- 8
- Main office:
- Effingham, IL
- SEC file number:
- 801-127578
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of April 29, 2026
View full firm profileOther advisors at Midland Wealth Management
Showing 12 of 22 in the directory
Similar advisors in Tarrytown, NY
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephen Thomas Kelly has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched