William J. 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.
William Joseph Kelly III, who also goes by Bill Kelly, William Joseph Kelly, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7, Series 53 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
July 15, 2013 - October 7, 2015
KGS-ALPHA CAPITAL MARKETS, L.P.
July 2, 2012 - July 15, 2013
VIRTU AMERICAS LLC
January 19, 2010 - December 31, 2010
KNIGHT LIBERTAS LLC
June 19, 2009 - December 31, 2010
KNIGHT CAPITAL MARKETS LLC
June 19, 2009 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
June 2, 2006 - June 16, 2006
NATIONAL SECURITIES CORPORATION
February 8, 2006 - May 15, 2006
FULCRUM GLOBAL PARTNERS LLC
February 23, 2004 - January 3, 2006
FULCRUM GLOBAL PARTNERS LLC
January 17, 2003 - February 17, 2004
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - February 17, 2004
CREDIT SUISSE SECURITIES (USA) LLC
July 30, 2002 - January 17, 2003
PERSHING LLC
March 8, 2001 - January 17, 2003
PERSHING LLC
February 1, 2000 - March 28, 2001
J.P. MORGAN SECURITIES INC.
June 11, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
December 5, 1997 - June 18, 1999
JANNEY MONTGOMERY SCOTT LLC
January 20, 1995 - December 12, 1997
NEW ENGLAND SECURITIES
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: 6/29/2009
Limited Representative-Equity Trader ExamCurrent Firm
KGS-ALPHA CAPITAL MARKETS, L.P.
CRD#: 151705 / SEC#: , 8-68390
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KGS HOLDINGS, L.P. | PARENT | |
| GOLDMAN, DANIEL ALAN | PRESIDENT | 1406528 |
| KAHRAMAN, LEVENT | CEO, HOME OFFICE SUPERVISOR | 2802822 |
| KGS-ALPHA CAPITAL MARKETS GP, LLC | PARENT - GENERAL PARTNER | |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER | 2795963 |
| KRIEGER, FREDERIC MICHAEL | GENERAL COUNSEL, EXECUTIVE REP., AML SUPERVISOR | 2194757 |
| SEERY, ROBERT PATRICK | CFO, FINOP | 862273 |
| SMOLYANSKIY, IGOR | CHIEF ADMINISTRATIVE OFFICER | 5017961 |
Disclosures
| Regulatory Event | 3 |
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.
