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James Raymond Dearden

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Information

Other Names: James Deardon, Jim Dearden
Firm:
Type: Dual Registration
Description

James Dearden is a financial professional at Metlife Securities Inc., a broker-dealer with over 6,450 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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Experience
EmployerYearsDates
Metlife Securities Inc. 10 years, 7 months Dec 2003 - Present
Metropolitan Life Insurance Co 10 years, 7 months Dec 2003 - Present
Exams
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

0 Answers and 0 Financial Guides

Top Answers

James Raymond Dearden has not answered any questions on Financial Q&A.

Top Guides

James Raymond Dearden 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
Other
Corporations or Other Businesses

*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
05/17/2012
01/21/2013
*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