Frederick D. 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.
Frederick Daniel Kelleher, who also goes by Frederick Daniel Kelleher Jr, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1985. Frederick had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2015 - March 19, 2020
NYLIFE SECURITIES LLC
April 8, 2014 - March 10, 2015
JANNEY MONTGOMERY SCOTT LLC
March 31, 2014 - March 10, 2015
JANNEY MONTGOMERY SCOTT LLC
April 17, 2007 - April 3, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 16, 2007 - April 3, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 29, 2006 - April 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 4, 2005 - April 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 5, 2000 - November 14, 2005
LEGG MASON WOOD WALKER, INCORPORATED
July 3, 1998 - May 9, 2000
MORGAN STANLEY DW INC.
February 25, 1997 - July 8, 1998
UBS FINANCIAL SERVICES INC.
June 26, 1992 - February 24, 1997
J.P. MORGAN SECURITIES LLC
July 23, 1985 - June 29, 1992
MORGAN STANLEY DW INC.
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
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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