Michael W. 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.
Michael William Kelleher was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - June 3, 2025
J.P. MORGAN PRIME INC.
October 8, 2010 - October 1, 2016
J.P. MORGAN CLEARING CORP.
September 7, 2010 - June 22, 2025
J.P. MORGAN SECURITIES LLC
November 8, 2000 - April 20, 2010
UBS SECURITIES LLC
July 29, 1991 - May 20, 1994
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
J.P. MORGAN PRIME INC.
CRD#: 282107 / SEC#: , 8-69703
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | STOCK HOLDER | 79 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| DICESARE, MICHAEL E | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHAIR | 4706326 |
| KLION, ROGER JAY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5082261 |
| MEDINA, MATTHEW JOSEPH | CHIEF LEGAL OFFICER | 8115839 |
| SHERRICK, EILEEN FRANCES | CHIEF COMPLIANCE OFFICER | 2225907 |
| SISTO, MICHAEL J | DIRECTOR | 5151797 |
Red Flags
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