Mark A. Keleher
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.
Mark Andrew Keleher, who also goes by Mark Keleher, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 4 firms and has passed the Series 63, Series 65, Series 3, Series 55, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2016 - November 16, 2018
ALAN BILLER AND ASSOCIATES
July 2, 2007 - May 27, 2014
BNY MELLON SECURITIES CORPORATION
January 27, 2003 - July 2, 2007
MBSC, LLC
June 14, 2001 - February 24, 2003
BNY MELLON SECURITIES CORPORATION
January 6, 1998 - August 27, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ALAN BILLER AND ASSOCIATES
CRD#: 105283 / SEC#: 801-48432
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: 7/19/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 2/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALAN BILLER AND ASSOCIATES
CRD#: 105283 / SEC#: 801-48432
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 59,353,683,024 |
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.
