James 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.
James Joseph Kelly, who also goes by Jim Kelly, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1999 - April 2, 2015
PACIFIC CREST SECURITIES LLC
January 19, 1994 - July 10, 1999
RAYMOND JAMES & ASSOCIATES, INC.
May 26, 1992 - January 17, 1994
WELLS FARGO CLEARING SERVICES, LLC
July 25, 1987 - January 30, 1990
FUNDAMENTAL BROKERS
July 23, 1986 - December 22, 1986
KIDDER, PEABODY & CO. 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 55
Date: 1/9/2006
Limited Representative-Equity Trader ExamSeries 8
Date: 6/24/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PACIFIC CREST SECURITIES LLC
CRD#: 6619 / SEC#: , 8-17885
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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