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Advisor at KELLEHER FINANCIAL ADVISORS, LLC
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| KELLEHER FINANCIAL ADVISORS, LLC | Independent wealth | Dec 17, 2015 | n/a | yes | NEW YORK, NY | Current employment |
| SAM ADVISORS, LLC | Former SEC adviser | Jan 10, 2015 | Dec 31, 2015 | no | NEW YORK, NY | Previous registration |
| SAM ADVISORS, LLC | Former SEC adviser | Oct 16, 2007 | Dec 31, 2014 | no | NEW YORK, NY | Previous registration |
| SAM ADVISORS, LLC | Former SEC adviser | Jan 28, 2005 | Jun 22, 2005 | no | NEW YORK, NY | Previous registration |
| SMITH ASSET MANAGEMENT, INC. | n/a | Jun 14, 2004 | Jun 22, 2005 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SAM ADVISORS, LLC | KELLEHER FINANCIAL ADVISORS, LLC | Dec 31, 2015 | Dec 17, 2015 | -14 | Firm change | Other |
| SMITH ASSET MANAGEMENT, INC. | SAM ADVISORS, LLC | Jun 22, 2005 | Jan 28, 2005 | -145 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 133251:126021:NY:2015-12-31 | Dec 31, 2015 | Dec 17, 2015 | NEW YORK, NY | Firm change |