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MK

Michael Joseph Kearns

VICTORY CAPITAL SERVICES
MIAMI, FL
·CRD# 2469401·20 years experience

Professional Summary

Michael Joseph Kearns, who also goes by Michael J Kearns, is a registered financial advisor currently at VICTORY CAPITAL SERVICES, INC. located in Miami, Florida. Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael J Kearns

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

20 years in the financial services industry

Current & Past Employments

VICTORY CAPITAL SERVICES, INC.·CRD# 37059
BD
1111 Brickell Avenue Suite 1500, Miami, FL 33131
April 1, 2025 - Present
AMUNDI DISTRIBUTOR US, INC.·CRD# 24497
BD
Boston, MA
September 25, 2024 - April 1, 2025
FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
New York, NY
September 11, 2017 - September 24, 2024
GALLATIN CAPITAL LLC·CRD# 124738
BD
New York, NY
December 22, 2015 - September 8, 2017
FRANKLIN DISTRIBUTORS, LLC·CRD# 109064
BD
New York, NY
December 23, 2009 - January 27, 2014
BNP PARIBAS SECURITIES CORP.·CRD# 15794
BD
New York, NY
May 12, 1999 - August 18, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
February 7, 1995 - May 13, 1997

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Current Firm

VC
VICTORY CAPITAL SERVICES, INC.

CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: 8-47577
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144

Mailing Address

4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144

Phone Number

(216) 898-2400

Established

Delaware since 06/03/1994

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER—
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures

Regulatory Event

1

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(4/1/2025)
RR
Arizona
(4/1/2025)
RR
California
(4/1/2025)
RR
Colorado
(4/1/2025)
RR
Connecticut
(4/1/2025)
RR
District of Columbia
(4/1/2025)
RR
Georgia
(4/1/2025)
RR
Hawaii
(4/1/2025)
RR
Illinois
(4/1/2025)
RR
Louisiana
(4/1/2025)
RR
Maine
(4/1/2025)
RR
Maryland
(4/1/2025)
RR
Massachusetts
(4/1/2025)
RR
Minnesota
(4/1/2025)
RR
New Hampshire
(4/1/2025)
RR
New Jersey
(4/1/2025)
RR
New York
(4/1/2025)
RR
Ohio
(4/1/2025)
RR
Pennsylvania
(4/1/2025)
RR
Texas
(4/1/2025)
RR
Virginia
(4/1/2025)
RR
Washington
(4/1/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2009About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2010About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Kearns's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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