Denis 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.
Denis Francis Kelly was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1993. Denis had worked at 5 firms and has passed the Series 63, Series 22TO, SIE, 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
May 17, 2022 - June 26, 2024
TM CAPITAL LLC
May 17, 2002 - February 28, 2022
ICAPITAL MARKETS LLC
May 31, 2001 - May 29, 2002
GUGGENHEIM INVESTOR SERVICES, LLC
October 1, 1993 - January 17, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 19, 1993 - August 2, 1993
WALL STREET MARKETS GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
TM CAPITAL LLC
CRD#: 27438 / SEC#: , 8-42193
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.
