Articles Tagged with Deborah Kelley

Deborah KelleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 14, 2017 indicate that former California-based Seaport Global Securities broker Deborah Kelley has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kelley (CRD# 1179082).

Deborah Kelley has spent 30 years in the securities industry and was most recently registered with Seaport Global Securities in San Francisco, California. Previous registrations include Stifel Nicolaus & Company in San Francisco, California; Sterne Agee & Leach in San Francisco, California; MF Global in San Francisco, California; Piper Jaffray & Company in San Francisco, California; BNP Paribas Securities in San Francisco, California. ABN Amro in Stamford, Connecticut; Everen Securities in St. Louis, Missouri; Prescott Ball & Turben; and Dean Witter Reynolds. She is currently not registered with any state or firm.

According to his BrokerCheck report, Deborah Kelley has been sanctioned by FINRA and is the subject of pending criminal and civil charges.