James J. Kelly
Professional summary
James Joseph Kelly, who also goes by Jim Kelly, is a registered financial professional currently at MCAP LLC located in Orlando, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Kelly's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2021 - Present
MCAP LLC
Office #1: 390 N. Orange Avenue Suite 2700, Orlando, FL 32801February 23, 2018 - April 21, 2021
NATIONAL SECURITIES CORPORATION
October 19, 2010 - February 24, 2018
VFINANCE INVESTMENTS, INC
April 21, 2008 - October 19, 2010
STOCKCROSS FINANCIAL SERVICES, INC.
July 30, 2003 - April 16, 2008
EMPIRE FINANCIAL GROUP, INC.
February 23, 1998 - November 6, 2003
NORTH AMERICAN CLEARING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/6/2021)
Exams
Series 99TO
Date: 8/5/2025
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/9/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
MCAP LLC
CRD#: 139515 / SEC#: , 8-67217
Contact information
FINRA licenses (19 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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