Dennis J. Fitzgerald

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CRD#: 710765

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.

Dennis John Fitzgerald was a registered financial advisor .

Dennis is a previously registered financial advisor and started their career in finance in 1980. Dennis had worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 14, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 10, 2003 - April 14, 2005

KELLEHER FINANCIAL ADVISORS, LLC

RIA

CRD#: 126021

NEW YORK, NY

Past

February 10, 1997 - April 14, 2005

SS&C MARKET SERVICES, LLC

CRD#: 23568

BOSTON, MA

Past

June 8, 1995 - June 30, 2003

SS&C MARKET SERVICES, LLC

RIA

CRD#: 23568

NEW YORK, NY

Past

January 26, 1989 - April 14, 2005

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

June 27, 1980 - April 7, 1987

MABON, NUGENT & CO.

CRD#: 2617

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021 / SEC#: 801-62029

RIA

Registered Investment Advisory firm - (6/9/2003 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 12/19/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/21/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 8/30/2000

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 8/16/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 10/16/1992

General Securities Principal Examination

Current Firm

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021 / SEC#: 801-62029

RIA

Registered Investment Advisory firm - (6/9/2003 Approved)

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Contact information

Main Address

100 Wall Street Suite 804, New York, NY 10005

Mailing Address

Phone number

(212) 709-9400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KELLEHER FINANCIAL ADVISORS FORM ADV PART 2A 04.08.2024 (3/27/2025)

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	Cover Page	Report
10/25/2023	Cover Page	Report
02/28/2023	Cover Page	Report

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.

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Firm Stability Insights

Dennis J. Fitzgerald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SS&C MARKET SERVICES, LLC

SS&C MARKET SERVICES, LLC

WALL STREET ACCESS

MABON, NUGENT & CO.

Primary Firm SEC Registration

KELLEHER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1994

Series 63

Date: 4/8/1991

Series 55

Date: 12/19/2000

Series 7

Date: 6/21/1980

Series 14

Date: 8/30/2000

Series 8

Date: 8/16/1993

Series 24

Date: 10/16/1992

Current Firm

KELLEHER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KELLEHER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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