James D. 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 Douglas Kelly, who also goes by James D Kelly, Jim Kelly, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 3 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2011 - November 20, 2014
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
May 6, 2002 - January 20, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2002 - July 18, 2002
BROADCORT CAPITAL CORP.
March 26, 1999 - February 12, 2002
BROADCORT CAPITAL CORP.
April 1, 1997 - August 6, 1997
BROADCORT CAPITAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD#: 16139 / SEC#: , 8-33359
Contact information
Documents
Disclosures
| Regulatory Event | 55 |
| Arbitration | 1 |
Red Flags
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