Neil P. Kelly
Professional summary
Neil Patrick Kelly was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neil is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Neil had worked at 10 firms, which includes W.A. CAPITAL MARKETS, BGC FINANCIAL L.P., RAFFERTY CAPITAL MARKETS LLC, OPPENHEIMER & CO. INC., CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., FIDELITY BROKERAGE SERVICES LLC, SHELTER ROCK SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - September 20, 2010
W.A. CAPITAL MARKETS
February 12, 2007 - January 7, 2008
BGC FINANCIAL, L.P.
January 20, 2004 - February 13, 2007
RAFFERTY CAPITAL MARKETS, LLC
November 14, 2003 - December 16, 2003
OPPENHEIMER & CO. INC.
December 16, 2002 - November 20, 2003
CITIGROUP GLOBAL MARKETS INC.
March 15, 1997 - November 20, 2003
CITIGROUP GLOBAL MARKETS INC.
September 19, 1991 - March 6, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 28, 1989 - September 4, 1991
UBS FINANCIAL SERVICES INC.
January 3, 1989 - August 7, 1989
LEHMAN BROTHERS INC.
July 15, 1986 - September 19, 1988
FIDELITY BROKERAGE SERVICES LLC
September 16, 1985 - January 23, 1986
SHELTER ROCK SECURITIES CORP.
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 8
Date: 6/24/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
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