Patrick M. 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.
Patrick Michael Kearns, who also goes by Patrick M Kearns, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1996. Patrick had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
November 5, 2010 - August 25, 2017
J. W. COLE ADVISORS, INC.
November 5, 2010 - August 23, 2017
J.W. COLE FINANCIAL, INC.
April 11, 2008 - November 5, 2010
BREWER INVESTMENT ADVISORS LLC
October 16, 2006 - November 5, 2010
BREWER FINANCIAL SERVICES, LLC
August 21, 1996 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 21, 1996 - October 16, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
