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JQ

James A. Queen

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CRD#: 1559196
JQ

Professional summary

James Allen Queen was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James Allen Queen, who also goes by Jim Queen, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2004. James had worked at 4 firms and has passed the Series 66, Series 7 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Queen

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 25, 2010 - June 29, 2017

KEELER & CO., LLC

RIA
CRD#: 125185
CALABASAS, CA
Past

December 16, 2008 - March 24, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
AGOURA HILLS, CA
Past

December 15, 2008 - March 24, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
AGOURA HILLS, CA
Past

December 13, 2005 - December 26, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WESTLAKE VILLAGE, CA
Past

December 9, 2005 - December 26, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WESTLAKE VILLAGE, CA
Past

May 14, 2004 - December 12, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LOS ANGELES, CA
Past

April 22, 2004 - December 12, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/13/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/6/2009
General Securities Sales Supervisor - Options Module Examination

Current Firm

K&
KEELER & CO., LLC
AMERICAN TAX & FINANCIAL PLANNERS | VERITE WEALTH MANAGEMENT | VERITE ASSET MANAGEMENT | THINK SPENDING | THE INVESTMENT ADVISOR ALLIANCE LLC | TELLER SPRINGS WEALTH MANAGEMENT | SYNTHIUM CAPITAL | RETIREMENT PLANNING SERVICES | L WEINMAN, ADVISOR | KOHN FINANCIAL PLANNING | KEELER ADVISORS | KEELER & CO., LLC | IAA | GWN WEALTH | GREEN INVESTMENT COUNSEL | E.C. JACKSON | CORNERSTONE WEALTH & TAX ADVISORY GROUP | CL PRICE FINANCIAL | CHARLESTON WEALTH ADVISORS

CRD#: 125185 / SEC#: 801-110633, 8-65773

BD
Terminated by SEC on 05/06/2006
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Contact information

Main Address
1555 Peachtree St Nw Ste 1800, Atlanta, GA 30309
Mailing Address
Phone number
Established
New York since 11/20/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A IAA BROCHURE (6/30/2021)

Direct owners and executive officers

NamePositionCRD#
KEELER, ROBERT WILLIAMCEO/MANAGER/LLC MEMBER1843603
KEELER, ROBERT JRCFO/COO/CCO/SALES SUPERVISOR/LLC MEMBER4308243

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

KEELER & CO., LLC

CRD#: 125185

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