William 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 Kelly, who also goes by Bill Kelly, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 17 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2016 - May 29, 2018
ODEON CAPITAL GROUP LLC
April 9, 2015 - July 21, 2016
R.W.PRESSPRICH & CO.
September 5, 2012 - December 8, 2014
B. RILEY WEALTH MANAGEMENT
May 7, 2012 - August 13, 2012
SAMCO CAPITAL MARKETS, INC.
January 6, 2010 - October 13, 2011
MF GLOBAL INC.
June 23, 2004 - January 5, 2010
RAYMOND JAMES & ASSOCIATES, INC.
January 31, 2001 - June 22, 2004
JEFFERIES LLC
December 7, 1999 - November 29, 2000
UBS FINANCIAL SERVICES INC.
April 11, 1991 - September 15, 1999
PERSHING LLC
April 6, 1990 - April 10, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1988 - April 17, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
May 27, 1987 - June 28, 1988
MORGAN STANLEY DW INC.
October 15, 1984 - October 14, 1987
PRUDENTIAL EQUITY GROUP, LLC
September 7, 1979 - September 15, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
June 25, 1979 - September 30, 1979
LEHMAN BROTHERS INC.
January 18, 1978 - June 25, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
July 6, 1972 - May 5, 1977
SPENCER TRASK & CO. 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 1
Date: 6/29/1972
Registered Representative ExaminationCurrent Firm
ODEON CAPITAL GROUP LLC
CRD#: 148493 / SEC#: , 8-68033
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWARTZBERG, EVAN | EXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL | 4577412 |
| VAN ALSTYNE, MATHEW HADLOCK | EXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL | 5616065 |
| DORFMAN, AARON PAUL | FINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 6158487 |
| TOLLA, CHRISTOPHER J | CHIEF COMPLIANCE OFFICER/CHIEF INFORMATION OFFICER | 5516420 |
| WOLF, THOMAS MICHAEL | SVP/ROSFP | 4509850 |
Disclosures
| Regulatory Event | 5 |
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.
