Joseph B. Kelsch
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.
Joseph Bernard Kelsch JR, who also goes by Joe Kelsch, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 13 firms and has passed the Series 63, Series 65, SIE 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 16, 2018 - August 28, 2020
GLL INVESTORS
December 13, 2017 - July 12, 2018
HALO SECURITIES, LLC
July 26, 2017 - December 19, 2017
FORMIDABLE ASSET MANAGEMENT, LLC
March 1, 2005 - August 9, 2006
RBC CAPITAL MARKETS, LLC
September 27, 2004 - August 9, 2006
RBC CAPITAL MARKETS, LLC
September 3, 2003 - September 27, 2004
TJM INVESTMENTS, LLC
January 17, 2003 - September 12, 2003
CREDIT SUISSE SECURITIES (USA) LLC
May 29, 1997 - January 17, 2003
PERSHING LLC
January 28, 1995 - June 4, 1997
UBS FINANCIAL SERVICES INC.
September 28, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 14, 1988 - September 29, 1992
J.P. MORGAN SECURITIES LLC
July 31, 1987 - May 4, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 19, 1986 - August 13, 1987
LEHMAN BROTHERS INC.
March 19, 1986 - November 25, 1986
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
GLL INVESTORS
CRD#: 161830 / SEC#: 801-81127
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
GLL INVESTORS
CRD#: 161830 / SEC#: 801-81127
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 188,868,450 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/5/2015 |
| Colorado | ERA - Withdrawn | 3/5/2015 |
| Florida | ERA - Withdrawn | 3/5/2015 |
| Illinois | ERA - Withdrawn | 3/5/2015 |
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.
