James R. Kneen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Russell Kneen, who also goes by James R Kneen, Jim Kneen, Jimbo Kneen, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2013 - September 6, 2018
STATE FARM VP MANAGEMENT CORP.
August 7, 2007 - December 5, 2012
TRANSAMERICA CAPITAL, LLC
July 19, 2006 - June 25, 2007
AUGUSTAR DISTRIBUTORS, INC.
November 4, 2005 - June 7, 2006
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 19, 2002 - October 18, 2005
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 15, 2001 - March 18, 2002
DIRECTED SERVICES LLC
April 14, 1998 - May 14, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 22, 1996 - January 26, 1998
TOUCHSTONE SECURITIES, INC.
May 18, 1995 - August 22, 1996
NYLIFE DISTRIBUTORS LLC
May 4, 1994 - April 25, 1995
VP DISTRIBUTORS LLC
May 17, 1990 - July 17, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 17, 1990 - July 17, 1991
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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