James F. Kelly
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 Francis Kelly, who also goes by Jim Kelly, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 6 firms and has passed the Series 63, Series 7 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
September 28, 2011 - March 19, 2012
BEST DIRECT SECURITIES, LLC
December 20, 2006 - August 25, 2009
BREWER FINANCIAL SERVICES, LLC
February 6, 1998 - December 31, 2003
PEREGRINE FINANCIALS & SECURITIES, INC.
July 22, 1997 - January 26, 1998
GLOBAL INVESTMENT SERVICES, INC.
December 17, 1993 - August 31, 1995
JOSEPH ROBERTS & CO., INC.
July 24, 1991 - December 20, 1991
TAMARON INVESTMENTS, INC.
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
Current Firm
BEST DIRECT SECURITIES, LLC
CRD#: 146053 / SEC#: , 8-67777
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEREGRINE FINANCIAL GROUP, INC | OWNER / SOLE MEMBER | |
| LISHCHYNSKY, MARK JOHN JR | CHIEF COMPLIANCE OFFICER | 2478952 |
| LISHCHYNSKY, MARK JOHN JR | PRESIDENT | 2478952 |
| SADZEWICZ, GERY JOSEPH | FINOP | 1090963 |
| TEGTMEIER, JAMES GORDON | BRANCH OFFICE MANAGER / GENERAL SECURITIES PRINCIPAL | 4042452 |
| TEGTMEIER, JAMES GORDON | SROP & CROP | 4042452 |
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.
