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James J Kelly

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Philadelphia, PA

Margate City, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-18
NJ RA APPROVED 2007-12-01
TX RA APPROVED_RES 1994-06-27
  • PA RA
    APPROVED
    Since 2010-06-18
  • NJ RA
    APPROVED
    Since 2007-12-01
  • TX RA
    APPROVED_RES
    Since 1994-06-27

Branch Locations

1600 Jfk Blvd, Philadelphia, PA 19103 • United States

Margate City, NJ • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Philadelphia PA 06/1977 Present
Bank Of America,N.A. Philadelphia PA 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-13
S63 Uniform Securities Agent State Law Examination 1983-09-26
  • S65 Uniform Investment Adviser Law Examination
    2007-11-13
  • S63 Uniform Securities Agent State Law Examination
    1983-09-26
Other Names
  • James Joseph Kelly
  • James J Kelly
  • James Kelly

View on SEC IAPD

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BIOPHY CAPITAL MANAGEMENT LLC · PHILADELPHIA, PA
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