John D. Kellam
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.
John Durbrow Kellam was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 6 firms and has passed the Series 63, SIE, Series 15, Series 5 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
March 27, 2019 - July 8, 2020
CANTELLA & CO., INC.
July 27, 2018 - August 23, 2018
CANTELLA & CO., INC.
May 12, 2004 - March 26, 2019
SILICON VALLEY SECURITIES, INC.
July 8, 1997 - May 18, 2004
A. G. EDWARDS & SONS, INC.
January 12, 1990 - May 18, 2004
A. G. EDWARDS & SONS, INC.
August 25, 1989 - February 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1986 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
June 21, 1979 - August 5, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
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 15
Date: 6/6/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
