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JK

James D. Killen

TJM INVESTMENTS
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 4651591
JK

Professional summary

James Dennis Killen is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Dennis Killen'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®
None

Experience

Current

June 28, 2018 - Present

TJM INVESTMENTS, LLC

Office #1: Cboe Trading Floor 141 West Jackson Boulevard, Chicago, IL 60604
BD
CRD#: 46300
Chicago, IL
Past

October 11, 2013 - July 2, 2018

PTR, INC.

BD
CRD#: 31559
COLLINGSWOOD, NJ
Past

August 17, 2011 - October 11, 2013

CTC XS, LLC

BD
CRD#: 139078
CHICAGO, IL
Past

June 14, 2007 - July 25, 2011

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

May 20, 2005 - May 30, 2007

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL
Past

October 6, 2003 - October 12, 2004

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

August 12, 2003 - September 2, 2003

LOUIS CAPITAL MARKETS, LLC

BD
CRD#: 48013
PARIS,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(1/21/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/1/2005
Registered Options Principal Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

TI
TJM INVESTMENTS, LLC
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606
Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606
Phone number
(312) 432-5100
Established
Illinois since 10/13/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TJM HOLDINGS, LLCHOLDING COMPANY
BEITLER, STEVE ALLENCHIEF EXECUTIVE OFFICER1893827
BURKE, JOHN TERRENCECHIEF OPERATING OFFICER2116593
DANG, STACY BINHCHIEF COMPLIANCE OFFICER3143275
MURPHY, THOMAS JAMESCO-MANAGER857354
RISINGER, COLLEEN SULLIVANFINOP CFO2812053
SKWERES, DENISE PAREJKOFINOP CFO5332253

Disclosures

Regulatory Event12

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.

Company Information

TJM INVESTMENTS, LLC

CRD#: 46300Chicago, IL 60604

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