James T. Kelly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Thomas Kelly was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 6 firms and has passed the Series 63, Series 55, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1989 - March 8, 2002
SHAMROCK PARTNERS, LTD
February 10, 1989 - June 1, 1989
SHAMROCK PARTNERS, LTD.
February 1, 1988 - December 5, 1988
GREENTREE SECURITIES CORP.
December 2, 1985 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
March 26, 1984 - June 12, 1985
CITIWIDE SECURITIES CORP.
February 27, 1973 - July 29, 1983
ROTH SECURITIES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 8/28/1972
Registered Representative ExaminationCurrent Firm
SHAMROCK PARTNERS, LTD
CRD#: 23955 / SEC#: , 8-40676
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
