Colleen P. Sorrentino
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Colleen Patricia Sorrentino's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2003 - Present
KELLEHER FINANCIAL ADVISORS, LLC
Office #1: 100 Wall Street, Suite 804, New York, NY 10005June 17, 1992 - Present
WALL STREET ACCESS
Office #1: 100 Wall Street, Suite 1501, New York, NY 10005April 24, 1997 - October 14, 2005
SS&C MARKET SERVICES, LLC
March 24, 1995 - June 30, 2003
SS&C MARKET SERVICES, LLC
Primary Firm SEC Registration
KELLEHER FINANCIAL ADVISORS, LLC
CRD#: 126021 / SEC#: 801-62029
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2015)
(1/14/2026)
(9/14/1996)
(1/5/2026)
(9/14/1996)
(10/21/1994)
(4/2/2026)
(1/8/2010)
(9/14/1996)
(2/20/2026)
(9/16/1996)
(10/14/2003)
(9/4/1992)
(8/30/2022)
(9/14/1996)
(1/8/2026)
(8/30/2022)
(1/6/2026)
Exams
Series 8
Date: 7/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
KELLEHER FINANCIAL ADVISORS, LLC
CRD#: 126021 / SEC#: 801-62029
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 749 |
| AUM (Assets Under Management) | $ 1,153,378,435 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2026 | ||
| 11/21/2024 | ||
| 10/25/2023 |
Red Flags
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