James A. 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.
James Alfred Kelly was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 9 firms and has passed the Series 63, Series 5, Series 000, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 1991 - August 22, 2001
ROTH CAPITAL PARTNERS, LLC
August 4, 1987 - May 31, 1991
MORGAN STANLEY DW INC.
February 2, 1983 - September 21, 1987
PRUDENTIAL EQUITY GROUP, LLC
September 12, 1978 - February 16, 1983
UBS FINANCIAL SERVICES INC.
May 17, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 2, 1976 - May 15, 1977
SUTRO & CO. INCORPORATED
April 22, 1975 - September 19, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 7, 1974 - May 10, 1975
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
May 30, 1973 - April 6, 1974
DUPONT WALSTON, INCORPORATED
March 30, 1972 - June 11, 1973
BIRR, WILSON & CO., INC.
August 26, 1968 - April 23, 1972
DUPONT WALSTON, INCORPORATED
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 5
Date: 11/9/1981
Interest Rate Options ExaminationSeries 000
Date: 3/30/1967
General Securities Principal ExaminationSeries 1
Date: 3/30/1967
Registered Representative ExaminationCurrent Firm
ROTH CAPITAL PARTNERS, LLC
CRD#: 15407 / SEC#: , 8-32129
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CR FINANCIAL HOLDINGS, INC. | MEMBER | |
| AKDENIZ, NAZAN | COO | 2522215 |
| GUREWITZ, AARON MICHAEL | CO-CHIEF EXECUTIVE OFFICER | 2244273 |
| LAMARCHE, KRISTIN DIANE | CHIEF COMPLIANCE OFFICER | 2582393 |
| MORK, JONATHAN ANDREW | MANAGER | 4349125 |
| PANAGIOTIDIS, ALEX | ROSFP | 4582559 |
| PLATT, RICHARD L | GENERAL COUNSEL | 2059118 |
| ROTH, BYRON CLARENCE | CHAIRMAN/MANAGER | 1768553 |
| ROTH, GORDON JAMES | CHIEF FINANCIAL OFFICER/FINOP/MANAGER | 3167226 |
| ROTH, THEODORE DAVID | VICE CHAIRMAN | 4615931 |
| SHETH, SAGAR ARVIND | CO-CHIEF EXECUTIVE OFFICER | 5209865 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
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.
