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MK

Michael F. Kelley

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CRD#: 1984597
MK

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.

Michael Frederick Kelley was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

September 19, 2016 - March 14, 2018

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
NEW YORK, NY
Past

June 16, 2016 - September 6, 2016

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

March 2, 2009 - April 6, 2009

WEDBUSH SECURITIES INC.

BD
CRD#: 877
BOSTON, MA
Past

March 20, 2006 - July 8, 2009

PACIFIC GROWTH EQUITIES, LLC

BD
CRD#: 24835
BOSTON, MA
Past

April 19, 2005 - March 13, 2006

THINKEQUITY LLC

BD
CRD#: 44274
BOSTON, MA
Past

July 6, 1994 - May 14, 2004

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

October 4, 1989 - June 9, 1994

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/2016
General Securities Representative Examination

Current Firm

SC
SGMA CAPITAL MARKETS LIMITED
NIAGARA INTERNATIONAL CAPITAL LIMITED | SGMA CAPITAL MARKETS LIMITED | SGMA CAPITAL MARKETS

CRD#: 135327 / SEC#: , 8-66911

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
757 Third Avenue 21st Floor, Clarence, NY 14031
Mailing Address
757 Third Avenue 21st Floor, New York, NY 10017
Phone number
(646) 681-6349
Established
New York since 12/20/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ROSSENDALE GROUP, INC.OWNER
LEGAYE, DANIEL EUGENE SRFINOP/CFO1055035
SHEUMACK, NICHOLAS JCHIEF EXECUTIVE OFFICER4378798
SMITH, LAUREN ANNCHIEF COMPLIANCE OFFICER1909862

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.

Company Information

SGMA CAPITAL MARKETS LIMITED

CRD#: 135327

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