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David Gordon Rauch

Kelleher Financial Advisors, LLC

New York, NY

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Current Employers
Kelleher Financial Advisors, Llc

100 Wall Street Suite 1501, New York, NY 10005 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-01-08
NY RA APPROVED 2023-03-13
TX RA APPROVED_RES 2015-12-17
  • PA RA
    APPROVED
    Since 2026-01-08
  • NY RA
    APPROVED
    Since 2023-03-13
  • TX RA
    APPROVED_RES
    Since 2015-12-17

Branch Locations

100 Wall Street Suite 1501, New York, NY 10005 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Kelleher Financial Advisors, Llc New York NY 12/2015 Present
Previous Registrations
  • 2015-01-10 → 2015-12-31
    Sam Advisors, Llc
    New York, NY
  • 2007-10-16 → 2014-12-31
    Sam Advisors, Llc
    New York, NY
  • 2004-06-14 → 2005-06-22
    Smith Asset Management, Inc.
    New York, NY
    New York, NY
  • 2005-01-28 → 2005-06-22
    Sam Advisors, Llc
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-03-08
S63 Uniform Securities Agent State Law Examination 1992-01-15
  • S65 Uniform Investment Adviser Law Examination
    2023-03-08
  • S63 Uniform Securities Agent State Law Examination
    1992-01-15
Other Names
  • David Rauch

View on SEC IAPD

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