JK
Jo Ellen Kearny
APEX CAPITAL MANAGEMENT, L.L.C.
BATON ROUGE, LA 70806
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CRD#: 4081284
JK
Professional summary
Jo Ellen Kearny is a registered financial advisor currently at APEX CAPITAL MANAGEMENT, L.L.C. located in Baton Rouge, Louisiana.
Jo Ellen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Jo Ellen has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. DBA: KEARNY FINANCIAL, INVESTMENT RELATED, Baton Rouge LA, ADVISORY DBA for Apex Capital Management, LLC., START November 2011, 40 HRS. PER WEEK - DURING TRADING HOURS, FINANCIAL ADVISOR 2. DAIGREPONT & BRIAN, APAC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, FULL SERVICE PUBLIC ACCOUNTING FIRM, START SEPTEMBER 2001, 20 HOURS PER WEEK - VARIES DURING TRADING HOURS, CERTIFIED PUBLIC ACCOUNTANT. 3. NAME OF OTHER BUSINESS: ANTON WILBERT FOUNDATION ; INVESTMENT RELATED: NO ; ADDRESS: 58020 BAYOU RD., PLAQUEMINE, LA 70764 ; NATURE OF BUSINESS: NON-PROFIT ; START DATE: 11/2015 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETING AND CONFER ON GRANTS ;
CRS (Client Relationship Summary) - RIA
Click below to view Jo Ellen Kearny's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 29, 2021 - Present
APEX CAPITAL MANAGEMENT, L.L.C.
Office #1: 910 S. Acadian Thruway, Baton Rouge, LA 70806RIA
CRD#: 117059
BATON ROUGE, LA
Past
December 9, 2013 - December 31, 2021
CETERA ADVISORS LLC
RIA
CRD#: 10299
BATON ROUGE, LA
Past
December 9, 2013 - December 31, 2021
CETERA ADVISORS LLC
BD
CRD#: 10299
BATON ROUGE, LA
Past
September 26, 2005 - December 17, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BATON ROUGE, LA
Past
January 2, 2002 - December 17, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BATON ROUGE, LA
Past
February 18, 2000 - December 31, 2001
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
December 7, 1999 - March 3, 2000
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
APEX CAPITAL MANAGEMENT, L.L.C.
APEX CAPITAL MANAGEMENT, L.L.C. | KEARNY FINANCIAL SERVICES
CRD#: 117059 / SEC#: 801-126097
RIA
Registered Investment Advisory firm - (7/15/2022 Approved)Louisiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Texas
Registered Investment Advisory firm - (12/5/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Louisiana(11/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
APEX CAPITAL MANAGEMENT, L.L.C.
APEX CAPITAL MANAGEMENT, L.L.C. | KEARNY FINANCIAL SERVICES
CRD#: 117059 / SEC#: 801-126097
RIA
Registered Investment Advisory firm - (7/15/2022 Approved)Louisiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Texas
Registered Investment Advisory firm - (12/5/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2901 Johnston St., Suite 401, Lafayette, LA 70503
Mailing Address
Phone number
(337) 895-0800
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 538 |
| AUM (Assets Under Management) | $ 216,629,987 |
Red Flags
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Company Information
APEX CAPITAL MANAGEMENT, L.L.C.
CRD#: 117059Baton Rouge, LA 70806TRUST BUT VERIFY
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