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James Michael Kearney

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Other Names: Mike Kearney
Type: Dual Registration

James Kearney is a financial professional at First Allied Advisory Services, Inc., a $5B RIA based in Chesterfield, MO. James has held an industry securities registration for 3 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
First Allied Advisory Services, Inc. 2 years, 3 months Jul 2012 - Present
First Allied Securities 3 years, 11 months Nov 2010 - Present
Wachovia Securities, LLC 2 years, 10 months Jan 2008 - Nov 2010
A. G. Edwards & Sons, Inc. 15 years, 2 months Sep 1995 - Nov 2010
ExamSeriesPassed Date
General Securities Sales Supervisor - General Module ExaminationSeries 10 01/31/2011
General Securities Sales Supervisor - Options Module ExaminationSeries 9 01/31/2011
General Securities Representative ExaminationSeries 7 11/17/1995
Uniform Securities Agent State Law ExaminationSeries 63 11/16/1995

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

James Michael Kearney has not answered any questions on Financial Q&A.

Top Guides

James Michael Kearney has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions