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James Raymond Dearden

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Other Names: James Deardon, Jim Dearden
Type: SEC and FINRA Registered

James Dearden is a financial professional at Metlife Securities Inc., a broker-dealer with over 7,150 registered representatives nationwide. James has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Metlifesecurities, Inc. 11 years, 4 months Dec 2003 - Present
Metropolitan Life Insurance Co. 11 years, 4 months Dec 2003 - Present
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 02/02/2012
Uniform Securities Agent State Law ExaminationSeries 63 12/19/2003
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 12/12/2003

Answers and Guides

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Firm Client Types

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

*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

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees