Thomas John Kelleher
Professional Summary
This is a previously registered financial professional. Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA. Thomas J. Kelleher works from Los Angeles with B. Riley Securities, where he has been registered since 2017. He holds multiple securities licenses that cover trading, research, operations, and investment banking activities. He helps clients who need market execution, corporate finance support, or detailed research. Many...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Kelleher
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
B. RILEY WEALTH PRIVATE SHARES | B. RILEY WEALTH PRIVATE SHARES, LLC
Contact Information
Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103Phone Number
(901) 251-1330# of Employees
8SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
8AUM (Assets Under Management)
$47,639,513Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
B. RILEY WEALTH PRIVATE SHARES | B. RILEY WEALTH PRIVATE SHARES, LLC
State Registrations and Notice Filings
(6/29/2017)
(11/21/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Jul 2007About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 1999Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Oct 2000About the Series 28 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Kelleher's CRS (Customer Relationship Summary).
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