Kelley A. Mcmahon
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.
Kelley Ann Mcmahon, who also goes by Kelley Mcmahon, was a registered financial professional .
Kelley is a previously registered financial professional and started their career in finance in 1993. Kelley had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2018 - November 1, 2018
NATIONAL SECURITIES CORPORATION
June 23, 2015 - April 6, 2016
NBC SECURITIES, INC.
June 16, 2015 - April 6, 2016
NBC SECURITIES, INC.
March 8, 2011 - May 28, 2015
JHS CAPITAL ADVISORS, LLC
March 10, 2010 - May 28, 2015
JHS CAPITAL ADVISORS, LLC
October 19, 2006 - March 10, 2010
GUNNALLEN FINANCIAL, INC
January 20, 2003 - March 10, 2010
GUNNALLEN FINANCIAL, INC
June 12, 2002 - August 16, 2002
TRUIST SECURITIES, INC.
July 27, 2001 - August 16, 2002
TRUIST SECURITIES, INC.
June 27, 2000 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
November 4, 1999 - February 3, 2000
FIRST VANTAGE INVESTMENTS LLC
July 26, 1995 - February 3, 2000
REGISTER FINANCIAL ASSOCIATES, INC.
September 15, 1993 - August 7, 1995
CITIGROUP GLOBAL MARKETS 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
Series 55
Date: 9/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
