Paul J. 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.
Paul Joseph Kelly, who also goes by Pj Kelly, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2010 - January 18, 2022
WHITAKER SECURITIES LLC
March 11, 2002 - October 14, 2004
BGC FINANCIAL, L.P.
March 12, 1999 - March 15, 2002
CANTOR FITZGERALD SECURITIES
January 8, 1992 - March 2, 1999
TULLETT LIBERTY BROKERAGE INC.
May 12, 1989 - March 12, 1990
CANTOR FITZGERALD SHOKEN KAISHA LIMITED
July 28, 1987 - January 8, 1992
CANTOR FITZGERALD SECURITIES
April 3, 1984 - February 21, 1985
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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.
