James Kelly
Professional summary
James Kelly, who also goes by James Francis Kelly Sr, James Francis Kelly, is a registered financial professional currently at PROFOR ADVISORS located in Rye Brook, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 10 firms and has passed the Series 63, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Kelly's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 13, 2019 - Present
PROFOR ADVISORS
Office #1: 800 Westchester Ave Suite 641n, Rye Brook, NY 10573August 8, 2011 - June 3, 2019
CITIGROUP GLOBAL MARKETS INC.
May 12, 2008 - June 22, 2011
MORGAN STANLEY & CO. LLC
January 18, 2006 - May 15, 2008
J.P. MORGAN SECURITIES LLC
July 28, 2003 - January 18, 2006
INSTITUTIONAL DIRECT INC.
January 2, 2002 - July 22, 2003
LABRANCHE FINANCIAL SERVICES, LLC
June 29, 2001 - January 2, 2002
HENDERSON BROTHERS, INC.
August 31, 2000 - April 9, 2002
PRENTICE SECURITIES, INCORPORATED
July 23, 1997 - May 4, 2000
CAPIS
August 27, 1992 - January 2, 1997
PRENTICE SECURITIES, INCORPORATED
February 16, 1989 - June 4, 1992
DOMINICK & DICKERMAN LLC
November 16, 1987 - February 14, 1989
LABRANCHE FINANCIAL SERVICES, 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
(6/13/2019)
Exams
FINRA
Current Firm
PROFOR ADVISORS
CRD#: 136084 / SEC#: , 8-66974
Contact information
FINRA licenses (30 States and Territories)
Documents
Red Flags
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