Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Kelleher is a financial advisor at Raymond James & Associates, Inc. with over 20 years of experience in the financial services industry. Stephen has worked at a number of well-known firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated and U.S. Bancorp Investments, Inc. Stephen has a broad range of experience and is able to provide financial advice and services to a diverse clientele. Stephen is registered with the Financial Industry Regulatory Authority (FINRA) and holds several professional licenses and designations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
MA
10/23/2018 - Present
Raymond James & Associates, Inc. (Boston MA)
MA
11/13/2017 - 10/24/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
MN
03/19/2013 - 05/14/2015
U.S. BANCORP INVESTMENTS, INC. (MINNEAPOLIS MN)
NY
10/23/2009 - 01/15/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MN
03/21/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
NY
03/31/2004 - 03/19/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NY
01/17/2003 - 01/06/2004
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
06/07/2000 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
09/02/1999 - 06/13/2000
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
BC
Issued 11/30/2017
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 11/04/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/14/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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