Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames T. Kelliher is a financial professional with over 15 years of experience in the industry. James is currently registered with Bofa Securities, Inc., where he has been employed since May 2019. Prior to joining Bofa Securities, Inc., James worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Sanford C. Bernstein & Co., LLC and J.P. Morgan Institutional Investments Inc. James has a strong track record of success in the financial services industry and holds a number of professional certifications, including the Series 7, 31, 63, 66 and 79 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Research-related services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
04/19/2012 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/20/2007 - 09/19/2011
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
05/02/2002 - 08/13/2003
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NEW YORK NY)
BOTH
Issued 01/07/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2012
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 01/09/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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