Denis P. Kelleher
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 Patrick Kelleher was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1970. Denis had worked at 8 firms and has passed the Series 63, SIE, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2008 - November 13, 2012
WSA FIXED INCOME, LLC
May 26, 1989 - July 29, 2013
SS&C MARKET SERVICES, LLC
November 1, 1984 - January 14, 1986
H. B. SHAINE & CO., INC.
May 8, 1984 - February 10, 1988
MONITOR SERVICES, INC.
August 24, 1981 - July 22, 2015
WALL STREET ACCESS
December 23, 1976 - July 30, 1980
FLEET CLEARING CORPORATION
December 23, 1976 - February 4, 1984
FLEET BROKERAGE SECURITIES, INC.
April 14, 1970 - January 2, 1976
RUANE CUNNIFF & CO., 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
F04
Date: 12/6/1976
Financial Principal ExaminationSeries 00
Date: 4/13/1970
General Securities Principal ExaminationCurrent Firm
WSA FIXED INCOME, LLC
CRD#: 145544 / SEC#: , 8-67743
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WALL STREET ACCESS LLC | MEMBER | |
| DROS, SEAN PATRICK | VP TRADING / CROP | 2610795 |
| GOETCHIUS, ARTHUR LEROY | PRESIDENT / BOARD OF DIRECTORS | 1374251 |
| KELLEHER, DENIS PATRICK | CHAIRMAN / BOARD OF DIRECTORS | 266445 |
| KELLEHER, SEAN MICHAEL | BOARD OF DIRECTORS | 1726997 |
| LAVIN, WILLIAM KANE JR | VP OPERATIONS / SROP | 2703117 |
| LORSON, PETER RUGG | CHIEF FINANCIAL OFFICER | 2266348 |
| O'CONNELL, JOHN PATRICK | ASSITANT CONTROLLER / FINOP | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Red Flags
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