Last updated: August 2025 — New York, NY
Here’s what you need to know about Thomas E. Kelly Jr. (New York, NY)
- Name: Thomas Edison Kelly, Jr.
- Currently registered with Aegis Capital Corp., 1345 Avenue of the Americas, 27th Floor, New York, NY 10105. Registered with this firm since May 10, 2018.
- CRD number: 2877415.
- Registrations/Exams: Registered with 2 SROs and licensed in 24 U.S. states/territories; has passed the SIE (10/01/2018), Series 7 (07/22/1997), and Series 63 (08/11/1997).
- Prior firms: National Securities Corporation (2008–2018) and First Republic Group, LLC (1998–2008).
- Other business affiliations: Quinn Source LLC (PPE distribution) and Aeropost (board member; logistics).
- Discloses Outstanding Tax Liens: Yes
- Highest Award or Settlement: $200,000
- Current Customer Disputes Seek Total Damages of: $1.74 Million
If you’ve sustained damages from Mr. Kelly, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money with Thomas E. Kelly Jr.?
Kelly discloses 18 prior and 3 currently pending customer disputes ,including:
- A pending $840,000 “unsuitable investments” pending claim received May 2025; Aegis Capital),
- Pending claim by customer of National Securities received in 6/2022 , seeks damages of $300,000 in connection with private placement offering.
Thirteen of the prior customer disputes were resolved with cash settlements ranging from $4,000 to $200,000.
Kelly discloses outstanding Internal Revenue Service tax liens of $381,388 , $292,439, $1,277,766 and $2,444,845..
Allegations of Broker Misconduct Against Thomas E. Kelly Jr.
Below are representative, reported allegations and outcomes (where available):
- Unsuitable investments / recommendations
- Overconcentration
- Failure to conduct reasonable due diligence of private placements
- Breach of fiduciary duty
- Negligence
- Misrepresentation & omissions
- Unauthorized trading
- Excessive trading
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Aegis Capital and Aegis Capital Brokers-Lawsuits, Arbitrations & Disputes
If you have suffered investment losses in an account handled by Thomas E. Kelly Jr., contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.