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DK

Deborah D. Kelley

Some features on this profile are disabled
CRD#: 1179082
DK

Professional summary

Deborah Dickson Kelley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Deborah is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Deborah had worked at 10 firms, which includes SEAPORT GLOBAL SECURITIES LLC, STIFEL NICOLAUS & COMPANY INCORPORATED, STERNE AGEE & LEACH INC., MF GLOBAL INC., PIPER SANDLER & CO., BNP PARIBAS SECURITIES CORP., ABN AMRO INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, PRESCOTT BALL & TURBEN INC., MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Deborah Ann Dickson | Debbie Kelley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 5, 2015 - December 21, 2016

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
SAN FRANCISCO, CA
Past

June 5, 2015 - September 9, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
SAN FRANCISCO, CA
Past

January 3, 2012 - June 5, 2015

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
SAN FRANCISCO, CA
Past

August 2, 2011 - December 5, 2011

MF GLOBAL INC.

BD
CRD#: 6731
SAN FRANCISCO, CA
Past

August 31, 2009 - August 23, 2011

PIPER SANDLER & CO.

BD
CRD#: 665
SAN FRANCISCO, CA
Past

May 19, 2004 - July 20, 2009

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
SAN FRANCISCO, CA
Past

September 11, 1996 - February 11, 2004

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

August 15, 1996 - September 6, 1996

ABN AMRO INCORPORATED

BD
CRD#: 15776
Past

September 4, 1990 - August 27, 1996

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 4, 1989 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

August 24, 1983 - January 17, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/8/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 10
Date: 8/2/1993
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/2/1993
General Securities Sales Supervisor - Options Module Examination

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

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.

Company Information

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

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