Joseph D. Kearney
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.
Joseph David Kearney, who also goes by Joseph Kearney, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
February 12, 2015 - May 4, 2016
NEXBANK SECURITIES INC
January 2, 2014 - May 4, 2016
NEXPOINT SECURITIES, INC.
July 15, 2013 - December 31, 2013
NEXBANK SECURITIES INC
April 20, 2011 - July 25, 2013
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 21, 2007 - March 9, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 4, 2000 - February 12, 2007
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 19, 1997 - July 31, 2000
FORESTERS FINANCIAL SERVICES, INC.
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
NEXBANK SECURITIES INC
CRD#: 133267 / SEC#: 801-111780, 8-66705
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 882,487 |
Disclosures
| Regulatory Event | 2 |
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.
