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JK

Joseph P. Kelly

IM GLOBAL US DISTRIBUTORS LLC
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 6268052
JK

Professional summary

Joseph Peter Kelly II is a registered financial professional currently at IM GLOBAL US DISTRIBUTORS LLC located in El Segundo, California.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2014. Joseph has worked at 3 firms and has passed the SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Peter Kelly II's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 28, 2023 - Present

IM GLOBAL US DISTRIBUTORS LLC

Office #1: 2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245Office #2: 2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245
BD
CRD#: 299892
El Segundo, CA
Past

June 2, 2021 - July 5, 2023

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

October 7, 2014 - June 1, 2021

DUNHAM

BD
CRD#: 13162
SAN DIEGO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/13/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IG
IM GLOBAL US DISTRIBUTORS LLC
IM GLOBAL US DISTRIBUTORS LLC

CRD#: 299892 / SEC#: , 8-70266

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245
Mailing Address
2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245
Phone number
(323) 238-4518
Established
Delaware since 12/05/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
IM GLOBAL PARTNER SASPARENT COMPANY
KELLY, JOSEPH PETER IICHIEF COMPLIANCE OFFICER6268052
SCARPATI, GERARDFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2313132
SEELEY, JEFFREY KENTPRINCIPAL, CHIEF OPERATING OFFICER2539223

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.

Company Information

IM GLOBAL US DISTRIBUTORS LLC

CRD#: 299892El Segundo, CA 90245

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