James T. 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 Thomas Kelly was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 1995 - July 25, 1996
DUKE & CO., INC.
August 18, 1993 - June 27, 1995
STRATTON OAKMONT INC.
April 26, 1993 - August 24, 1993
DUKE & CO., INC.
March 22, 1993 - April 26, 1993
D. H. BLAIR & CO., INC.
March 2, 1993 - March 10, 1993
GRUNTAL & CO., L.L.C.
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
DUKE & CO., INC.
CRD#: 8035 / SEC#: , 8-24174
Contact information
Documents
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.
