Thomas C. 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.
Thomas C Kelleher was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2010. Thomas had worked at 2 firms and has passed the SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2012 - August 12, 2013
MS SECURITIES SERVICES INC.
June 30, 2010 - January 12, 2022
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
MS SECURITIES SERVICES INC.
CRD#: 14276 / SEC#: , 8-26804
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY & CO. LLC | SHAREHOLDER | |
| ASSOMULL, MOHIT ASHOK | DIRECTOR | 3103550 |
| KELLEHER, THOMAS C | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5746390 |
| LUPETIN, SERGIO JOSEPH | CHIEF FINANCIAL OFFICER | 1221963 |
| MCEVOY, GRAEME | CHIEF OPERATIONS OFFICER | 5595318 |
| MEATES, HELEN THERESE | DIRECTOR | 2271715 |
| RICHTER, ROSEANNE NANCY | CHIEF COMPLIANCE OFFICER | 1771193 |
| WIPF, THOMAS GEORGE | DIRECTOR | 1559273 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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