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WILLIAM PATRICK KELLY NFA ID: 0286392 Current Status NO CURRENT STATUS Regulatory Actions  Agency Number NFA 1 CFTC 1 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Security Futures Proficiency Training No proficiency information available Doing Business As • SUN TZU CAPITAL MANAGEMENT   Listed Principals No principals currently listed History  Status Effective Date • NFA MEMBER WITHDRAWN 10/16/2005  • COMMODITY TRADING ADVISOR WITHDRAWN 10/16/2005  • NFA MEMBER APPROVED 08/16/2005  • COMMODITY TRADING ADVISOR REGISTERED 08/16/2005  • NFA MEMBER PENDING 07/22/2005  • COMMODITY TRADING ADVISOR PENDING 07/22/2005  IAG CAPITAL MANAGEMENT LLC  • PRINCIPAL WITHDRAWN 02/29/2012  • NFA ASSOCIATE MEMBER WITHDRAWN 02/29/2012  • ASSOCIATED PERSON WITHDRAWN 02/29/2012  • NFA ASSOCIATE MEMBER APPROVED 01/29/2008  • ASSOCIATED PERSON REGISTERED 01/23/2008  • PRINCIPAL APPROVED 01/23/2008  • NFA ASSOCIATE MEMBER PENDING 01/23/2008  • ASSOCIATED PERSON PENDING 01/23/2008  IAG THE INVESTMENT ADVISORY GROUP LLC  • PRINCIPAL WITHDRAWN 08/20/2008  • BRANCH MANAGER WITHDRAWN 08/20/2008  • ASSOCIATED PERSON WITHDRAWN 08/20/2008  • NFA ASSOCIATE MEMBER WITHDRAWN 08/20/2008  • BRANCH MANAGER APPROVED 08/02/2007  • BRANCH MANAGER PENDING 08/01/2007  • NFA ASSOCIATE MEMBER APPROVED 11/27/2006  • ASSOCIATED PERSON REGISTERED 11/27/2006  • PRINCIPAL APPROVED 11/06/2006  • NFA ASSOCIATE MEMBER PENDING 11/06/2006  • ASSOCIATED PERSON PENDING 11/06/2006  KELLY, WILLIAM PATRICK  • NFA ASSOCIATE MEMBER WITHDRAWN 09/16/2005  • ASSOCIATED PERSON WITHDRAWN 09/16/2005  • PRINCIPAL WITHDRAWN 09/16/2005  • NFA ASSOCIATE MEMBER APPROVED 08/16/2005  • ASSOCIATED PERSON REGISTERED 08/16/2005  • PRINCIPAL APPROVED 08/16/2005  • NFA ASSOCIATE MEMBER PENDING 07/22/2005  • ASSOCIATED PERSON PENDING 07/22/2005  • PRINCIPAL PENDING 07/22/2005  SUN TZU CAPITAL MANAGEMENT  • BRANCH MANAGER WITHDRAWN 01/04/2008  • PRINCIPAL WITHDRAWN 01/04/2008  • ASSOCIATED PERSON WITHDRAWN 01/04/2008  • NFA ASSOCIATE MEMBER WITHDRAWN 01/04/2008  • BRANCH MANAGER APPROVED 08/02/2007  • BRANCH MANAGER PENDING 08/01/2007  • NFA ASSOCIATE MEMBER APPROVED 10/13/2005  • ASSOCIATED PERSON REGISTERED 10/13/2005  • PRINCIPAL APPROVED 09/21/2005  • NFA ASSOCIATE MEMBER PENDING 09/21/2005  • ASSOCIATED PERSON PENDING 09/21/2005  VISION FINANCIAL MARKETS LLC  • ASSOCIATED PERSON WITHDRAWN 12/21/2006  • NFA ASSOCIATE MEMBER WITHDRAWN 12/21/2006  • PRINCIPAL WITHDRAWN 12/21/2006  • PRINCIPAL APPROVED 07/31/1998  • ASSOCIATED PERSON REGISTERED 07/27/1998  • NFA ASSOCIATE MEMBER APPROVED 07/27/1998  WHITEHALL INVESTMENT MANAGEMENT INC  • ASSOCIATED PERSON WITHDRAWN 02/07/2007  • NFA ASSOCIATE MEMBER WITHDRAWN 02/07/2007  • PRINCIPAL WITHDRAWN 02/07/2007  • PRINCIPAL APPROVED 06/15/1998  • ASSOCIATED PERSON REGISTERED 04/03/1998  • NFA ASSOCIATE MEMBER APPROVED 03/24/1998  • ASSOCIATED PERSON TEMPORARY LICENSE 03/24/1998