Daniel J. Kelly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Joseph Kelly was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2000. Daniel had worked at 2 firms and has passed the Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2007 - December 10, 2013
JAMES E. COFFEY SECURITIES, INC.
January 10, 2000 - April 17, 2007
UBS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7A
Date: 10/29/2003
Floor Broker Representative ExamSeries 25
Date: 4/6/2000
NYSE Trading Assistant ExaminationCurrent Firm
JAMES E. COFFEY SECURITIES, INC.
CRD#: 141393 / SEC#: , 8-67383
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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