Sean D. Kelly
Professional summary
Sean David Patrick Kelly, who also goes by Sean Kelly, is a registered financial professional currently at BA SECURITIES, LLC located in Austin, Texas.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean David Patrick Kelly's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2023 - Present
BA SECURITIES, LLC
Office #1: 98 San Jacinto Blvd., Suite 400, Austin, TX 78701February 3, 2021 - March 2, 2023
FINALIS SECURITIES LLC
September 6, 2017 - May 5, 2020
CAMDEN FINANCIAL SERVICES
December 16, 2014 - September 5, 2017
SGMA CAPITAL MARKETS LIMITED
January 19, 2000 - March 19, 2014
CAPPELLO CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/3/2023)
(8/22/2024)
(3/31/2023)
(3/3/2023)
(3/3/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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