CS
Colleen P. Sorrentino
KELLEHER FINANCIAL ADVISORS
New York, NY 10005
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CRD#: 1714405
CS
Professional summary
Colleen Patricia Sorrentino, who also goes by Colleen Patricia Kelleher, is a registered financial advisor currently at KELLEHER FINANCIAL ADVISORS, LLC located in New York, New York and WALL STREET ACCESS located in New York, New York.
Colleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Colleen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Colleen Patricia Kelleher
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Colleen Patricia Sorrentino's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 14, 2003 - Present
KELLEHER FINANCIAL ADVISORS, LLC
Office #1: 100 Wall Street, Suite 804, New York, NY 10005RIA
CRD#: 126021
New York, NY
Current
June 17, 1992 - Present
WALL STREET ACCESS
Office #1: 100 Wall Street, Suite 804, New York, NY 10005BD
CRD#: 10012
New York, NY
Past
April 24, 1997 - October 14, 2005
SS&C MARKET SERVICES, LLC
BD
CRD#: 23568
BOSTON, MA
Past
March 24, 1995 - June 30, 2003
SS&C MARKET SERVICES, LLC
RIA
CRD#: 23568
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KF
KELLEHER FINANCIAL ADVISORS, LLC
BATTERY PARK CAPITAL | WALL STREET ADVISORS LLC | WALL STREET ACCESS WEALTH MANAGEMENT | WALL STREET ACCESS ASSET MANAGEMENT, LLC | WALL STREET ACCESS ADVANCED STRATEGIES, LLC | STARBOARD ADVISORS | NU PARADIGM INVESTMENT PARTNERS | KELLEHER FINANCIAL ADVISORS. LLC | KELLEHER FINANCIAL ADVISORS, LLC | KELLEHER FAMILY WEALTH MANAGEMENT
CRD#: 126021 / SEC#: 801-62029
RIA
Registered Investment Advisory firm - (6/9/2003 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/22/2015)
RR
California(9/14/1996)
RR
Connecticut(9/14/1996)
RR
Florida(10/21/1994)
RR
Maryland(1/8/2010)
RR
Massachusetts(9/14/1996)
RR
New Jersey(9/16/1996)
IAR
New Jersey(10/14/2003)
RR
New York(9/4/1992)
IAR
New York(8/30/2022)
RR
Pennsylvania(9/14/1996)
IAR
Texas(8/30/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
KF
KELLEHER FINANCIAL ADVISORS, LLC
BATTERY PARK CAPITAL | WALL STREET ADVISORS LLC | WALL STREET ACCESS WEALTH MANAGEMENT | WALL STREET ACCESS ASSET MANAGEMENT, LLC | WALL STREET ACCESS ADVANCED STRATEGIES, LLC | STARBOARD ADVISORS | NU PARADIGM INVESTMENT PARTNERS | KELLEHER FINANCIAL ADVISORS. LLC | KELLEHER FINANCIAL ADVISORS, LLC | KELLEHER FAMILY WEALTH MANAGEMENT
CRD#: 126021 / SEC#: 801-62029
RIA
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Contact information
Main Address
100 Wall Street Suite 804, New York, NY 10005
Mailing Address
Phone number
(212) 709-9400
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 648 |
| AUM (Assets Under Management) | $ 1,025,582,365 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2024 | ||
| 10/25/2023 | ||
| 02/28/2023 |
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.
