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Colleen Patricia Sorrentino

Investment Adviser Representative at KELLEHER FINANCIAL ADVISORS, LLC

New York, NYCRD #1714405Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
12 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 12 states
ArizonaCaliforniaConnecticutFloridaMarylandMassachusettsMissouriNew JerseyNew YorkOhioPennsylvaniaVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/18/1995
Series 63
Uniform Securities Agent State Law Examination
Passed 9/2/1992
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/16/1992
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 7/28/1994
Series 4
Registered Options Principal Examination
Passed 5/20/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $500,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Kelleher Financial Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KELLEHER FINANCIAL ADVISORS, LLCCurrent
10/14/2003New York, NY
WALL STREET ADVISORS, LLC
3/24/19956/30/2003New York, NY

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at KELLEHER FINANCIAL ADVISORS, LLC

3 other advisors in the directory

View KELLEHER FINANCIAL ADVISORS, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Colleen Patricia Sorrentino has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Colleen Patricia Sorrentino - Financial Advisor in New York, NY | AdvisorFinder