David A. 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.
David Allen Kearney, who also goes by Dave Kearney, David A Kearney, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 9 firms and has passed the Series 66, Series 63 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 4, 2011 - March 2, 2012
WADDELL & REED
April 1, 2011 - March 2, 2012
WADDELL & REED
November 10, 2010 - March 24, 2011
THE O.N. EQUITY SALES COMPANY
November 25, 2009 - October 12, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
November 16, 2009 - October 12, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
February 16, 2007 - September 30, 2008
CUSO FINANCIAL SERVICES, L.P.
March 22, 2005 - February 23, 2007
FIFTH THIRD SECURITIES, INC.
June 11, 2004 - February 22, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
December 13, 2000 - July 9, 2002
EDWARD JONES
August 25, 1999 - December 8, 2000
IDS LIFE INSURANCE COMPANY
August 25, 1999 - December 8, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
