Sean M. Kelleher
Professional summary
Sean Michael Kelleher, who also goes by Sean Kelleher, is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2008. Sean has worked at 2 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Kelleher's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 1992 - Present
WALL STREET ACCESS
Office #1: 100 Wall Street, Suite 804, New York, NY 10005July 9, 2008 - November 13, 2012
WSA FIXED INCOME, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/11/1993)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/31/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 7/10/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
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