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DK

Dennis M. Kelleher

ROBOTTI SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2107342
DK

Professional summary

Dennis Michael Kelleher is a registered financial professional currently at ROBOTTI SECURITIES, LLC located in New York, New York.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 1991. Dennis has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 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) - BD

Click below to view Dennis Michael Kelleher's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 15, 2019 - Present

ROBOTTI SECURITIES, LLC

Office #1: 125 Park Avenue, Suite 1607, New York, NY 10017
BD
CRD#: 13251
New York, NY
Past

January 27, 2017 - August 2, 2019

PFS INVESTMENTS INC.

BD
CRD#: 10111
NEW YORK, NY
Past

September 11, 2015 - December 31, 2016

PFS INVESTMENTS INC.

BD
CRD#: 10111
NEW YORK, NY
Past

February 22, 2012 - September 4, 2013

WBB SECURITIES, LLC

BD
CRD#: 118440
SAN DIEGO, CA
Past

February 17, 2012 - September 4, 2013

WBB SECURITIES, LLC

RIA
CRD#: 118440
SAN DIEGO, CA
Past

March 30, 2004 - March 17, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
SAN DIEGO, CA
Past

March 30, 2004 - March 17, 2010

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
SAN DIEGO, CA
Past

June 6, 2003 - March 4, 2004

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
SAN DIEGO, CA
Past

June 6, 2003 - March 4, 2004

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
SAN DIEGO, CA
Past

June 2, 1999 - June 3, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
NEWPORT BEACH, CA
Past

September 5, 1997 - June 3, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

February 27, 1991 - December 21, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 4, 1991 - March 27, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(1/4/2022)
RR
Michigan
(10/11/2022)
RR
Nevada
(10/26/2023)
RR
New York
(8/15/2019)
RR
Ohio
(2/25/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/12/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RS
ROBOTTI SECURITIES, LLC
ROBOTTI & COMPANY, INCORPORATED | ROBOTTI SECURITIES, LLC | ROBOTTI & ENG, INCORPORATED | ROBOTTI & ENG, INC. | ROBOTTI & COMPANY, LLC

CRD#: 13251 / SEC#: , 8-28886

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

Main Address
125 Park Avenue, Suite 1607, New York, NY 10017
Mailing Address
125 Park Avenue, Suite 1607, New York, NY 10017
Phone number
(212) 986-4800
Established
New York since 03/07/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROBOTTI & COMPANY, INCORPORATEDSTOCKHOLDER 100% OWNER OF APPLICANT
KELLEHER, DENNIS MICHAELCHIEF COMPLIANCE OFFICER2107342
MCQUEENEY, DAVID VINCENTSROP, ROP2440806
MEVORAH, ERWIN ICFO, FIN/OP & SECRETARY1944735
ROBOTTI, ROBERT EDWARDPRESIDENT, CEO, GSP, TREASURER732905
ROBOTTI, SUZANNE BENSONDIRECTOR4616454
SEKLIR, NANCY ELIZABETHDIRECTOR1756843
WASIAK, KENNETH RONALDDIRECTOR1485703

Disclosures

Regulatory Event2

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

ROBOTTI SECURITIES, LLC

CRD#: 13251New York, NY 10017

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