Thomas J. Kelleher
Professional summary
Thomas John Kelleher, who also goes by Tom Kelleher, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 87, Series 55, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Kelleher's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2017 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025August 17, 2017 - December 3, 2019
MLV & CO. LLC
September 30, 2015 - March 27, 2025
B. RILEY CAPITAL MANAGEMENT
January 2, 2014 - June 23, 2015
B. RILEY ASSET MANAGEMENT, LLC
March 14, 2008 - April 16, 2014
B. RILEY & CO., LLC
October 11, 2002 - July 4, 2015
RILEY INVESTMENT MANAGEMENT
June 18, 1997 - November 30, 2017
B. RILEY & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/29/2017)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 11/22/1999
Limited Representative-Equity Trader ExamSeries 28
Date: 10/10/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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