Michael P. Kearns
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.
Michael Patrick Kearns was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 10 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2015 - December 31, 2015
MERRION SECURITIES, LLC
August 10, 2012 - April 29, 2013
CAVU SECURITIES LLC
December 23, 2011 - July 3, 2012
SWARTWOOD, HESSE INC.
October 6, 2009 - March 30, 2010
TAFFERER TRADING, LLC
February 20, 2008 - September 29, 2009
DOMESTIC SECURITIES, INC.
January 18, 2007 - March 13, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 2, 2006 - October 20, 2006
RYAN BECK & CO.
November 19, 2003 - April 7, 2005
BREAN MURRAY & CO., INC.
September 9, 2002 - April 22, 2003
GOLDMAN SACHS & CO. LLC
January 13, 1995 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 10/15/1998
Limited Representative-Equity Trader ExamCurrent Firm
MERRION SECURITIES, LLC
CRD#: 30145 / SEC#: , 8-44770
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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