George M. Labranche
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.
George Michael Labranche IV, who also goes by George Ml Labranche IV, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1977. George had worked at 6 firms and has passed the Series 63, Series 65, 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
June 25, 2014 - December 19, 2017
KELLEHER FINANCIAL ADVISORS, LLC
November 1, 2013 - December 19, 2017
WALL STREET ACCESS
February 28, 2005 - November 10, 2011
TD ARRANGED SERVICES LLC
July 2, 2004 - October 31, 2007
LABRANCHE STRUCTURED PRODUCTS SPECIALISTS LLC
March 29, 2001 - December 16, 2010
LABRANCHE FINANCIAL SERVICES, LLC
December 22, 1977 - March 21, 2011
LABRANCHE & CO. LLC
Primary Firm SEC Registration
KELLEHER FINANCIAL ADVISORS, LLC
CRD#: 126021 / SEC#: 801-62029
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
KELLEHER FINANCIAL ADVISORS, LLC
CRD#: 126021 / SEC#: 801-62029
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 749 |
| AUM (Assets Under Management) | $ 1,153,378,435 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2026 | ||
| 11/21/2024 | ||
| 10/25/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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