James C. Kellogg

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CRD#: 1808317

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 Crane Kellogg JR was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1988. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 8, 2006 - February 20, 2018

MERRION INVESTMENT MANAGEMENT CO, LLC

RIA

CRD#: 139143

WESTFIELD, NJ

Past

March 18, 2002 - December 18, 2017

MERRION SECURITIES, LLC

CRD#: 30145

WESTFIELD, NJ

Past

February 8, 2002 - March 19, 2002

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

January 24, 1996 - August 13, 2001

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

Past

January 1, 1996 - January 15, 1996

WSM HOLDINGS, L.L.C.

CRD#: 31352

NEW YORK, NY

Past

September 12, 1989 - November 15, 1995

DEUTSCHE IXE, LLC

CRD#: 7172

NEW YORK, NY

Past

July 21, 1988 - August 18, 1989

HUDSON SECURITIES,INC.

CRD#: 10467

JERSEY CITY, NJ

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".

MERRION INVESTMENT MANAGEMENT CO, LLC

MERRION ALTERNATIVE INVESTMENTS | MERRION INVESTMENT MANAGEMENT, LLC | MERRION INVESTMENT MANAGEMENT CO, LLC

CRD#: 139143 / SEC#: 801-65917

RIA

Registered Investment Advisory firm - (1/27/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/7/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/10/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/17/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/3/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/1994

General Securities Principal Examination

Current Firm

MERRION INVESTMENT MANAGEMENT CO, LLC

MERRION ALTERNATIVE INVESTMENTS | MERRION INVESTMENT MANAGEMENT, LLC | MERRION INVESTMENT MANAGEMENT CO, LLC

CRD#: 139143 / SEC#: 801-65917

RIA

Registered Investment Advisory firm - (1/27/2006 Approved)

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Contact information

Main Address

184 North Ave. East, Cranford, NJ 07016

Mailing Address

Phone number

(908) 654-0033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 212,724,134

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.

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Firm Stability Insights

James C. Kellogg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRION SECURITIES, LLC

JOSEPH GUNNAR & CO. LLC

SANDS BROTHERS & CO., LTD.

WSM HOLDINGS, L.L.C.

DEUTSCHE IXE, LLC

HUDSON SECURITIES,INC.

Primary Firm SEC Registration

MERRION INVESTMENT MANAGEMENT CO, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/2006

Series 63

Date: 7/12/1989

SIE

Date: 12/18/2017

Series 55

Date: 9/10/1999

Series 7

Date: 7/16/1988

Series 10

Date: 1/17/2001

Series 9

Date: 1/3/2001

Series 24

Date: 10/28/1994

Current Firm

MERRION INVESTMENT MANAGEMENT CO, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MERRION INVESTMENT MANAGEMENT CO, LLC

TRUST BUT VERIFY

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