Stephen S. Kelleher
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.
Stephen Sean Kelleher, who also goes by Stephen S Kelleher, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 16, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2010 - July 14, 2023
AUSTIN ATLANTIC CAPITAL INC.
April 20, 1999 - January 11, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 31, 1997 - December 2, 1998
DEUTSCHE BANK SECURITIES INC.
February 28, 1994 - February 21, 1997
NOMURA SECURITIES INTERNATIONAL, INC.
April 3, 1991 - March 9, 1994
MERRILL LYNCH GOVERNMENT SECURITIES INC.
January 25, 1984 - March 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 5/24/1984
Interest Rate Options ExaminationCurrent Firm
AUSTIN ATLANTIC CAPITAL INC.
CRD#: 43981 / SEC#: , 8-50509
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
