Deken M. Palmer
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.
Deken Moore Palmer was a registered financial professional .
Deken is a previously registered financial professional and started their career in finance in 2005. Deken had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2009 - June 1, 2012
KELLEHER FINANCIAL ADVISORS, LLC
July 21, 2009 - June 1, 2012
WALL STREET ACCESS
May 30, 2005 - May 13, 2009
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
KELLEHER FINANCIAL ADVISORS, LLC
CRD#: 126021 / SEC#: 801-62029
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KELLEHER FINANCIAL ADVISORS, LLC
CRD#: 126021 / SEC#: 801-62029
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 648 |
| AUM (Assets Under Management) | $ 1,025,582,365 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2024 | ||
| 10/25/2023 | ||
| 02/28/2023 |
Red Flags
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.
