James R. Kearny
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 Robert Kearny was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2010 - December 31, 2024
STRATCAP SECURITIES, LLC
June 1, 2006 - October 1, 2010
DUNHAM
June 1, 2006 - October 1, 2010
DUNHAM
January 31, 2005 - June 15, 2006
CETERA WEALTH SERVICES, LLC
August 26, 2003 - June 10, 2004
TBG FINANCIAL
February 23, 1999 - April 14, 2003
CANTERBURY CONSULTING INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/19/2001
Limited Representative-Equity Trader ExamCurrent Firm
STRATCAP SECURITIES, LLC
CRD#: 151152 / SEC#: , 8-68338
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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