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John Keith Fell

Tradeweb Direct LLC

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About John Keith Fell

John Keith Fell has been in the financial services industry since November 4, 1987. John is currently registered with Tradeweb Direct LLC and Tradeweb LLC in New York. John has a Series 3, 7, 9, 22, 24, 63, 79TO, and SIE license. John also has experience with Dealerweb Inc., Rafferty Capital Markets, LLC, Keane Securities Co., Inc., Dresdner Kleinwort Wasserstein Securities LLC, Dresdner Kleinwort Wasserstein - Grantchester, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Paine Webber Incorporated, The Equalized Estate, Ltd., and Paine Webber Real Estate Securities Inc.

Firm Information

John Fell is currently registered with Tradeweb Direct LLC. Tradeweb Direct LLC, a Limited Liability Company, was formed on November 3, 1999 and is approved in all 50 U.S. states, Puerto Rico, and the District of Columbia. The firm has one SEC registration and 52 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

41

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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John Fell’s Registration & Firm History

NY

09/30/2020 - Present

Tradeweb Direct LLC (NEW YORK NY)

NY

12/01/2005 - 10/31/2011

RAFFERTY CAPITAL MARKETS, LLC (NEW YORK NY)

NY

10/09/2009 - 05/06/2010

KEANE SECURITIES CO., INC. (NEW YORK NY)

NY

09/14/2000 - 05/10/2005

DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (NEW YORK NY)

NY

02/06/2002 - 06/30/2003

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC. (NEW YORK NY)

NY

04/25/1989 - 02/11/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

09/03/1986 - 04/22/1989

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

09/10/1985 - 05/10/1988

THE EQUALIZED ESTATE, LTD.

NA

07/25/1987 - 10/29/1987

PAINEWEBBER REAL ESTATE SECURITIES INC.

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Licenses & Designations

BC

Issued 08/15/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/01/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/25/2002

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/28/1987

Series 3 - National Commodity Futures Examination

BC

Issued 09/20/1986

Series 7 - General Securities Representative Examination

BC

Issued 09/09/1985

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Keith Fell.
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