JK
James J. Kiley
SECURITY DISTRIBUTORS
TOPEKA, KS 66636-0001
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CRD#: 1278905
JK
Professional summary
James J Kiley is a registered financial professional currently at SECURITY DISTRIBUTORS located in Topeka, Kansas.
James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James J Kiley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 4, 2011 - Present
SECURITY DISTRIBUTORS
Office #1: One Security Benefit Place, Topeka, KS 66636-0001BD
CRD#: 3336
TOPEKA, KS
Past
September 16, 2011 - December 21, 2017
GUGGENHEIM INVESTMENTS
RIA
CRD#: 105477
NEW YORK, NY
Past
April 23, 2009 - October 27, 2009
NEW ENGLAND SECURITIES
RIA
CRD#: 615
WALL TOWNSHIP, NJ
Past
February 11, 2009 - October 27, 2009
NEW ENGLAND SECURITIES
BD
CRD#: 615
WALL TOWNSHIP, NJ
Past
January 3, 2008 - November 4, 2008
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
June 4, 2007 - November 29, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
May 2, 2005 - November 29, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 25, 2002 - April 29, 2005
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
November 2, 1999 - June 28, 2002
THE FALLER COMPANY, LLC
BD
CRD#: 47583
EAST BRUNSWICK, NJ
Past
November 29, 1996 - March 7, 1997
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
July 28, 1992 - October 28, 1999
THE FALLER COMPANY, INC.
BD
CRD#: 26476
EAST BRUNSWICK, NJ
Past
November 1, 1988 - November 29, 1996
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
Past
August 2, 1984 - April 7, 1988
HIGHAM-WHITRIDGE SECURITIES, INC.
BD
CRD#: 6161
PITTSBURGH, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/15/2020)
RR
Connecticut(1/15/2020)
RR
Delaware(1/15/2020)
RR
District of Columbia(1/15/2020)
RR
Florida(1/15/2020)
RR
Georgia(1/15/2020)
RR
Indiana(1/15/2020)
RR
Kansas(4/4/2011)
RR
Kentucky(1/15/2020)
RR
Maine(1/15/2020)
RR
Maryland(1/15/2020)
RR
Massachusetts(1/15/2020)
RR
Michigan(1/15/2020)
RR
Minnesota(1/15/2020)
RR
Mississippi(1/15/2020)
RR
New Hampshire(1/15/2020)
RR
New Jersey(4/4/2011)
RR
New York(1/15/2020)
RR
North Carolina(1/15/2020)
RR
Ohio(1/15/2020)
RR
Pennsylvania(1/15/2020)
RR
Rhode Island(1/15/2020)
RR
South Carolina(1/15/2020)
RR
Tennessee(7/17/2023)
RR
Vermont(1/15/2020)
RR
Virginia(1/15/2020)
RR
West Virginia(1/15/2020)
RR
Wisconsin(1/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SD
SECURITY DISTRIBUTORS
SECURITY DISTRIBUTORS | SECURITY DISTRIBUTORS, LLC | SECURITY DISTRIBUTORS, INC.
CRD#: 3336 / SEC#: , 8-10781
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Security Benefit Place, Topeka, KS 66636-0001
Mailing Address
One Security Benefit Place, Topeka, KS 66636
Phone number
(785) 438-3000
Established
Kansas since 03/06/1962
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY BENEFIT LIFE INSURANCE COMPANY | MEMBER | |
| AULETA, KURT EUGENE | SENIOR VICE PRESIDENT, SALES MANAGER WEST | 2463399 |
| BISHOP, COLIN WILLIAM | CFO, TREASURER & FINOP | 7787724 |
| BYRNES, DAVID GERARD | PRESIDENT & HEAD OF DISTRIBUTION | 1318905 |
| CARR, MARK JOSEPH | ASSISTANT VICE PRESIDENT | 2833346 |
| GARHART, GREGORY CHRISTOPHER | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & AML COMPLIANCE OFFICER | 5118892 |
| HILL, CARMEN RENEE | VICE PRESIDENT & ASSISTANT SECRETARY | 2646887 |
| JACQUINOT, JUSTIN ABER | SENIOR VICE PRESIDENT, DIRECT RELATIONSHIPS | 4437252 |
| KILEY, JAMES J | SENIOR VICE PRESIDENT, EDUCATION MARKET & AFFILIATES | 1278905 |
| LACEY, SUSAN JANELLE | ASSISTANT TREASURER | 4930469 |
| MAGHINI, MICHAEL THOMAS | SENIOR VICE PRESIDENT, NATIONAL ACCOUNTS | 1239692 |
| REIDY, MICHAEL KEVIN | SENIOR VICE PRESIDENT | 1323936 |
| ROCHA, MATTHEW VINCENT | SENIOR VICE PRESIDENT, SALES MANAGER EAST | 5207062 |
| TALLEN, AARON MARSHAL | SECOND VICE PRESIDENT, HEAD OF DISTRIBUTION OPERATIONS & 401K DEFINED CONTRIBUTIONS | 4455856 |
| WILEY, DONALD ANDREW | VICE PRESIDENT | 1132196 |
| YOUNG, LISA MICHELLE | ASSISTANT TREASURER | 2596425 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SECURITY DISTRIBUTORS
CRD#: 3336Topeka, KS 66636-0001TRUST BUT VERIFY
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