Michael B. Kelly
Professional summary
Michael Brenden Kelly, who also goes by Michael Kelly, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Santa Monica, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Brenden Kelly's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 28, 2016 - Present
CANTOR FITZGERALD & CO.
Office #1: 429 Santa Monica Blvd Suite 280, Santa Monica, CA 90401May 21, 2014 - September 26, 2016
RBC CAPITAL MARKETS, LLC
July 2, 2007 - February 9, 2009
CITIGROUP GLOBAL MARKETS INC.
March 18, 2004 - May 24, 2007
LEHMAN BROTHERS INC.
October 21, 2003 - March 15, 2004
MORGAN STANLEY & CO. LLC
August 27, 1996 - June 26, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
(6/21/2019)
(11/28/2016)
Exams
Series 55
Date: 12/22/2003
Limited Representative-Equity Trader ExamFINRA
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
