James P. Kearney
Professional summary
James Patrick Kearney, who also goes by Jim Kearney, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Kearney's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2019 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022January 19, 2019 - May 31, 2019
OLDEN LANE SECURITIES, LLC
October 28, 2011 - February 2, 2017
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
March 6, 2006 - April 15, 2011
GOLDMAN SACHS & CO. LLC
July 12, 2002 - March 1, 2006
SHORELINE TRADING GROUP LLC
January 9, 1997 - July 10, 2002
GUGGENHEIM SECURITIES, LLC
April 16, 1996 - July 8, 1998
FINANCIAL ASSET MANAGEMENT, INC.
November 14, 1995 - May 21, 1996
EASTERN POINT SECURITIES, INC.
August 14, 1989 - September 29, 1995
PERSHING LLC
May 10, 1989 - September 25, 1989
LEHMAN SPECIAL SECURITIES INC.
May 10, 1989 - September 25, 1989
LEHMAN BROTHERS INC.
May 10, 1989 - September 25, 1989
LEHMAN GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/18/2019)
(11/18/2019)
Exams
FINRA
Current Firm
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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