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James Michael Kearney

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Information

Other Names: Mike Kearney
Firm:
Additional Firm:
Type: Dual Registration
Description

James Kearney is a financial professional at First Allied Advisory Services, Inc., a $5B RIA based in Chesterfield, MO. James is also registered with First Allied Securities, Inc., a broker-dealer with over 1,150 registered representatives nationwide. James has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
First Allied Advisory Services, Inc. 2 years Jul 2012 - Present
First Allied Securities 3 years, 9 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
Exams
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

Individuals
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

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/12/2012
10/23/2012
*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