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James Michael Kearney

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Other Names: Mike Kearney
Additional Firm:
Type: SEC and FINRA Registered

James Kearney is a financial professional at First Allied Securities, Inc., a broker-dealer with over 1,150 registered representatives nationwide. James is also registered with First Allied Advisory Services, Inc., a $5B RIA based in Marina, CA. James has held an industry securities registration for 19 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
First Allied Advisory Services, Inc. 3 years, 4 months Jul 2012 - Present
First Allied Securities 5 years 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 Articles

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Top Articles

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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

Types of Compensation Arrangements

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  • Hourly Charges
  • Fixed Fees
  • Commissions