Denis E. Kelleher
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.
Denis Edward Kelleher, who also goes by Denis Edward Kelleher, Denis Kelleher, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 2008. Denis had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 16, Series 79, Series 86, Series 87 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
October 16, 2024 - October 20, 2025
MORGAN STANLEY & CO. LLC
November 20, 2023 - October 8, 2024
UBS SECURITIES LLC
June 30, 2022 - November 20, 2023
CREDIT SUISSE SECURITIES (USA) LLC
September 27, 2021 - June 13, 2022
MIZUHO SECURITIES USA LLC
October 18, 2017 - June 10, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 17, 2015 - October 3, 2017
OPPENHEIMER & CO. INC.
September 17, 2015 - September 30, 2015
APB FINANCIAL GROUP, LLC
January 17, 2014 - January 6, 2015
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
July 12, 2011 - February 25, 2013
COWEN AND COMPANY
December 21, 2010 - July 18, 2011
CANACCORD GENUITY LLC
May 25, 2010 - October 25, 2010
DEUTSCHE BANK SECURITIES INC.
January 23, 2008 - May 12, 2010
WELLS FARGO SECURITIES, 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
Exams
Series 79TO
Date: 11/22/2021
Investment Banking Registered Representative ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
