Theodore C. Kelleher
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.
Theodore Charles Kelleher was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1989. Theodore had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 8 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2019 - October 24, 2019
GALLATIN CAPITAL LLC
August 12, 2013 - March 5, 2018
SG AMERICAS SECURITIES, LLC
November 5, 2012 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
June 8, 1990 - June 15, 2012
UBS FINANCIAL SERVICES INC.
January 19, 1989 - August 15, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 5/23/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 6/21/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GALLATIN CAPITAL LLC
CRD#: 124738 / SEC#: , 8-65718
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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