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Detailed Report
MICHAEL WILLIAM KELEHER
CRD#: 3244480
IA
Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200320042005200620072008200920102011IAING FINANCIAL PARTNERS, INC (CRD# 2882)2007 - 2008 (<1 year)IACOMMERCE CAPITAL MARKETS, INC. (CRD# 6940)2005 - 2007 (2 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2005 (1 year)
Disclosure(s)
View By:
7/21/2010
Regulatory
Final
11/10/2009
Regulatory
Final
Previous Registration(s)
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 06/27/2007 - 04/23/2008 ING FINANCIAL PARTNERS, INC (CRD#:2882) FREEHOLD, NJ
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 03/24/2005 - 07/03/2007 COMMERCE CAPITAL MARKETS, INC. (CRD#:6940) TINTON FALLS, NJ
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 10/29/2003 - 03/11/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) NEW BRUNSWICK, NJ
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.